SENECA FINANCIAL ADVISORS LLC
Adviser information for SENECA FINANCIAL ADVISORS LLC last updated from Form ADV on January 22nd, 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 | New York, United States |
Employees
| Total Number of Employees | 19 |
|---|---|
| Investment Advisory/Research | 7 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 7 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 906 | $535.4M |
| Non-Discretionary | 103 | $71.6M |
| Total | 1,009 | $607.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 185 | $49.2M |
| HNW Individuals | 150 | $537.8M |
| 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 | 0 | $0 |
| Charitable organizations | 0 | $0 |
| 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 | $10.9M |
| Other | 13 | $9.0M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 26 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 251-500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-71051 |
|---|---|
| SEC ERA File Number | 801-71051 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 152824 |
| Legal Entity Identifier | None |
Principal Office
500 LINDEN OAKSSUITE 150
ROCHESTER
NY
United States
Monday - Friday, 8:00AM - 4:30PM
Tel: 585-203-1211, Fax: 585-286-3858
Chief Compliance Officer
KATHY MEZEI RAABE
MEMBER & SENIOR WEALTH ADVISOR
830 S HARRISON STREET
DENVER
CO
United States
Tel:
720-202-4028
Fax:
585-286-3858
K******@**************************M
(Full email address available in API data)
Regulatory Contact
STEPHEN GREEN
MEMBER & CHIEF EXECUTIVE OFFICER
500 LINDEN OAKS
SUITE 150
ROCHESTER
NY
United States
Tel:
585-203-1211, EXT.104
Fax:
585-286-3858
S*****@**************************M
(Full email address available in API data)
Industry Affiliates
| SENECA LEGAL ADVISORS | Lawyer or law firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| LEFEBRE, SCOTT, MICHAEL | Individual | – | MEMBER & MANAGING DIRECTOR, BUSINESS DEVELOPMENT | 01/2010 | 25-50% |
| GREEN, STEPHEN, GEORGE | Individual | – | MEMBER & CHIEF EXECUTIVE OFFICER | 01/2010 | 25-50% |
| RAABE, ELIZABETH, MEZEI | Individual | – | MEMBER, CHIEF COMPLIANCE OFFICER & SENIOR WEALTH ADVISOR | 01/2024 | 5-10% |
| ERSKINE, ZACHARY, RICHARD | Individual | – | MEMBER & SENIOR WEALTH ADVISOR | 01/2024 | 10-25% |
| DARCY, MATTHEW, JAMES | Individual | – | MEMBER & CHIEF INVESTMENT OFFICER | 01/2024 | 10-25% |
| MERRY, KIMBERLY, SUSAN | Individual | – | MEMBER & BUSINESS MANAGER | 01/2024 | 5-10% |