# SECURITIES MONITORING GROUP, LLC

SECURITIES MONITORING GROUP, LLC of BUFFALO, MN is an SEC-registered investment adviser.

## Registration

- CRD: 113242
- Type: SEC-registered investment adviser
- SEC file number: 801-60344
- Location: 103 MARTY DRIVE, SUITE 101, BUFFALO, MN, 55313
- Phone: 763-682-4014
- Latest filing: 2013-12-26
- Regulatory AUM: $76.6M
- Discretionary AUM: $57.0M
- Non-discretionary AUM: $19.6M
- Clients: 11
- Accounts: 1,906

## Officers, owners & control persons (3)

| Name | Role | Location |
| --- | --- | --- |
| DOUGHERTY MICHAEL JOHN | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER; PARTNER; PARTNER/CHIEF COMPLIANCE OFFICER (+2 more) | — |
| THEIS DAVID ALAN | MANAGING MEMBER; PARTNER | — |
| DANIELS DIANA LYNN | DIRECTOR OF COMPLIANCE | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/113242/brochure
- Similar advisers: https://search.stillhousedata.com/firm/113242/similar
- Related entities: https://search.stillhousedata.com/firm/113242/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/113242

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.