Seraphim Capital Management, LLC

RIASEC RegisteredEst. 2021
Total AUM
$63M
Discretionary
$63M
100% of AUM
Avg account
$350K
Accounts
180
Employees
3
Advisory reps
1

Firm details

Headquarters
,
CRD number
170976
Registered since
April 23, 2021
Custodians
LPL FINANCIAL LLC, INTERACTIVE BROKERS LLC
Fee structure
Percentage of AUM, Hourly Charges, Performance Based Fees
Client types
  • HNWI53.97%
  • Individuals46.03%
Services
Portfolio Management for Individuals

Firm profile

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Overview

Seraphim Capital Management, LLC is an SEC-registered advisory firm formed as an LLC in 2021 that focuses on portfolio management for individuals and small businesses. The firm is owner-operated and serves an individual and family client base under a mix of fee arrangements: percentage of AUM, hourly charges and performance-based fees. Investment activity centers on equity markets, with a clear preference for exchange-traded instruments and discretionary management — the firm reports all of its $63.0M in assets as discretionary. The combination of equity-focused allocations and a performance-fee option suggests Seraphim can run both traditional advisory strategies (core equity/ETF sleeves, SMAs) and more active or outcome-driven mandates where incentive fees are appropriate. Custody split between a large wire/advisor custodian and Interactive Brokers points to a hybrid operating model that supports both managed account relationships and more actively traded, execution-sensitive accounts.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Investment profile

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Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

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CRM & tech providers

TAMPs used

Clients

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Client base

Client personas

Asset composition

Asset composition: Exchange Traded Equities 75%, US Government Bonds 10%, Investment Grade Corp Bonds 5%, Derivatives 5%, Cash & Cash Equivalents 5%75%
  • Exchange Traded Equities75%
  • US Government Bonds10%
  • Investment Grade Corp Bonds5%
  • Derivatives5%
  • Cash & Cash Equivalents5%

Contacts

1 of 1
  • John Morris

    John Morris

    Managing Partner, Portfolio ManagerCRD 340494

Wealth teams

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Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

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Location

Primary office

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Location

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Headquartered in , null.

Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth