SEROS FINANCIAL, LLC
Adviser information for SEROS FINANCIAL, LLC last updated from Form ADV on March 12th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Arizona, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 5 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 4 |
| No. of Firms/People that Solicit Clients | 2 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 884 | $245.6M |
| Non-Discretionary | 6 | $15.2M |
| Total | 890 | $260.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 325 | $105.4M |
| HNW Individuals | 67 | $137.5M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $15.1M |
| Charitable organizations | <5 | $25,299 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $2.8M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 5 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)Publication of periodicals or newsletters |
|---|---|
| Compensation | % of AUMHourly chargesSubscription feesFixed fees |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-120609 |
|---|---|
| SEC ERA File Number | 801-120609 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 166808 |
| Legal Entity Identifier | None |
Principal Office
2141 EAST BROADWAY RD.SUITE 220
TEMPE
AZ
United States
Monday - Friday, 9:00AM - 4:30PM
Tel: 480-967-1155, Fax: 480-967-1152
Chief Compliance Officer
SHEROD BIGELOW
2141 EAST BROADWAY RD.
SUITE 220
TEMPE
AZ
United States
Tel:
480-967-1155
Fax:
480-967-1152
S*****@************M
(Full email address available in API data)
Regulatory Contact
JEREMY WINDELL SMITH
MANAGING MEMBER
2141 EAST BROADWAY RD.
SUITE 220
TEMPE
AZ
United States
Tel:
480-967-1155
J*****@************M
(Full email address available in API data)
Industry Affiliates
| SEROS FINANCIAL, LLC | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SMITH, JEREMY, WINDELL | Individual | – | MANAGING MEMBER | 02/2013 | > 75% |
| BIGELOW, SHEROD, NORTON | Individual | – | CHIEF COMPLIANCE OFFICER | 02/2013 | < 5% |