Benjamin F. Edwards & Company, Incorporated
Registered investment adviser · St. Louis, MO · CRD #146936
Form ADV data as of 2026-09-01Regulatory assets
$18.92 billion
Total accounts
55,423
Employees
755
Disclosure events
17
Firm details
- Website: https://www.facebook.com/people/benjamin-f-edwards-co/100040273672567/
- Telephone: 314-726-1600
- SEC file number: 801-71421
- Most recent Form ADV filing: 2026-03-31
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm reports 8 disclosure questions answered Yes, covering 17 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.
- SEC or CFTC found a false statement or omission
- SEC or CFTC found a violation of its regulations or statutes
- SEC or CFTC entered an order in connection with investment-related activity
- SEC or CFTC imposed a civil money penalty or a cease-and-desist order
- Another regulator entered an order in connection with investment-related activity (past 10 years)
- Another regulator denied, suspended, or revoked a registration or restricted activity
- A self-regulatory organization found a violation of its rules
- A self-regulatory organization expelled, suspended, barred, or restricted the firm
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $12.77 billion |
| Non-discretionary regulatory assets under management | $6.15 billion |
| Total regulatory assets under management | $18.92 billion |
| Discretionary accounts | 43,163 |
| Non-discretionary accounts | 12,260 |
| Total accounts | 55,423 |
| Regulatory assets under management attributable to non-U.S. persons | $7.3 million |
People
| Total employees (excluding clerical) | 755 |
| Employees performing investment advisory functions (including research) | 450 |
| Employees who are registered representatives of a broker-dealer | 545 |
| Employees registered as investment adviser representatives with a state | 450 |
| Employees registered as IARs for another investment adviser | 3 |
| Employees who are licensed insurance agents | 376 |
| Firms or persons who solicit advisory clients on the firm's behalf | 1 |
Custody
| Has custody of client cash or bank accounts | Yes |
| Has custody of client securities | Yes |
| Client funds and securities held in the firm's custody | $10.06 billion |
| Clients for whom the firm has custody | 21,073 |
| A related person has custody of client cash or bank accounts | No |
| A related person has custody of client securities | No |
| The firm acts as a qualified custodian | Yes |
| A related person acts as a qualified custodian | Yes |
| Number of persons acting as qualified custodians for the firm's clients | 2 |
How the firm is compensated
Advisory services offered
Other business activities
Affiliated related persons
Reported conflicts of interest
Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:
- Buys or sells for itself securities it also recommends to clients
- Recommends securities in which it has another proprietary interest
- Recommends securities in which it has another sales interest
- Brokers or dealers selected under 8.C.(3) are related persons
- Recommends brokers or dealers to clients
- Brokers or dealers recommended under 8.E. are related persons
- Receives compensation from others for client referrals
Client types
| Type of client | Clients | Assets |
|---|---|---|
| Individuals (other than high net worth individuals) | 32,288 | $15.55 billion |
| High net worth individuals | 244 | $2.46 billion |
| Pension and profit sharing plans (not the participants or government plans) | 203 | $149.7 million |
| Charitable organizations | 96 | $187.3 million |
| Corporations or other businesses not listed above | 226 | $570.1 million |
| Other | 0 | $690,058 |