# Montgomery Securities

Montgomery Securities is a Private Equity based in Albany, United States.

## Overview

- **Organization type:** Private Equity
- **Headquarters:** Albany, United States
- **Region:** North America
- **Address:** Albany, NY, United States
- **Assets under management:** Undisclosed
- **Website:** montyam.com
- **LinkedIn:** https://www.linkedin.com/company/monty-asset-management

## Regulatory record

- **CRD number:** 318650
- **Registration status:** Registered
- **Latest Form ADV filing:** 2024-03-29T05:00:00.000Z
- **Reports private funds:** Yes
- **Private funds reported:** 0
- **IAPD record:** https://adviserinfo.sec.gov/firm/summary/318650

## About

Montgomery Securities is a boutique West Coast investment bank and asset management firm dedicated to guiding clients through complex financial landscapes. It specializes in connecting high-growth companies with institutional and sophisticated investors, offering strategic advisory and bespoke capital markets solutions. Its Investment Banking practice advises on Capital Formation, M&A, private placements, and structured liquidity events. Its Asset Management arm offers alternative investment strategies focused on sectors including Financial Technology, Capital Markets, AI & Automation, Aerospace & Defense, and Healthcare.

## Sectors

- FinTech
- AI/ML
- Aerospace & Defense
- Healthcare Services

## Questions

### Is Montgomery Securities a registered broker-dealer?

No. Montgomery Securities LLC is not a registered broker-dealer. All securities offerings are executed through Finalis Securities LLC, a separate and unaffiliated FINRA/SIPC member firm. This structure means Montgomery Securities itself does not hold a broker-dealer license and relies on Finalis for transactional execution.

### What is Montgomery Securities' typical investment stage and check size?

The firm's strategy signals focus on early-stage, seed, and venture-general opportunities, according to its curated investment mandate. However, Montgomery Securities has not publicly disclosed a target check size, fund structure, or deployment capacity. No limited partner base or vehicle names are listed on its website.

### Does Montgomery Securities disclose any current or past portfolio companies?

No. The firm's website does not name any direct investments, co-investment partners, or exited positions. While the firm claims deep industry relationships in FinTech, AI & Automation, Aerospace & Defense, and Healthcare, no verifiable portfolio holdings are publicly available.

## Related profiles

- [Montvue Capital Management](https://altss.com/profile/montvue-capital-management)
- [Montz Harcus Wealth Management](https://altss.com/profile/montz-harcus-wealth-management)

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Last updated: 2026-08-11T15:07:26.757Z

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