{ "crd_number": 147092, "slug": "seacrest-wealth-management-llc-purchase-ny-147092", "primary_business_name": "SEACREST WEALTH MANAGEMENT, LLC", "legal_name": "SEACREST WEALTH MANAGEMENT, LLC", "dbas": [], "city": "Purchase", "state": "NY", "country": "United States", "cbsa_code": "35620", "metro": { "cbsa_code": "35620", "common_name": "New York", "msa_name": "New York-Newark-Jersey City, NY-NJ", "path": "/advisors/ny/new-york" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2008-05-12", "years_registered": 18, "period": "2026-10-01", "filing_date": "2026-08-10", "carried_forward": false, "raum_total": 1533465779.0, "raum_discretionary": 1448883446.0, "raum_non_discretionary": 84582333.0, "raum_band": "1b_5b", "raum_band_label": "$1 billion to $5 billion", "total_employees": 47, "advisory_employees": 36, "client_count_bucket": null, "clients_by_type": { "charitable": { "raum": 6930177.0, "count": 9 }, "individuals": { "raum": 300441118.0, "count": 1102 }, "pension_profit_sharing": { "raum": 2979122.0, "count": 5 }, "high_net_worth_individuals": { "raum": 1202914861.0, "count": 373 }, "corporations_other_businesses": { "raum": 20200501.0, "count": 9 } }, "compensation_types": [ "fixed", "hourly", "percentage_of_aum" ], "advisory_activities": [ "financial_planning", "pension_consulting", "portfolio_management_businesses_institutional", "portfolio_management_individuals", "selection_of_other_advisers" ], "wrap_fee_participant": false, "disclosure_yes_count": 4, "states_registered": [ "AZ", "CA", "CO", "CT", "FL", "GA", "IA", "ID", "IL", "IN", "KS", "KY", "LA", "MA", "MD", "ME", "MI", "MN", "MO", "MT", "NC", "ND", "NE", "NH", "NJ", "NM", "NV", "NY", "OH", "OK", "OR", "PA", "SC", "SD", "TN", "TX", "UT", "VA", "WA", "WY" ], "websites": [ "https://joanneliakos.com", "https://linkedin.com/company/seacrest-wealth-management/about", "https://seacrestwm.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/147092", "disclosure_items": [ { "item": "11.C(1)", "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?" }, { "item": "11.C(2)", "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?" }, { "item": "11.C(4)", "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?" }, { "item": "11.C(5)", "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?" } ], "city_as_filed": "PURCHASE", "url": "https://advisorcensus.com/firm/seacrest-wealth-management-llc-purchase-ny-147092", "display_name": "Seacrest Wealth Management, LLC", "summary": "Seacrest Wealth Management, LLC is an SEC-registered investment advisory firm in Purchase, NY, registered since 2008, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated August 10, 2026.", "citation": "AdvisorCensus. Seacrest Wealth Management, LLC (CRD 147092): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Hourly charges", "Fixed fees (other than subscription fees)" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses", "Portfolio management for businesses (other than small businesses) or institutional clients", "Pension consulting services", "Selection of other advisers (including private fund managers)" ], "quick_answers": [ { "q": "How is Seacrest Wealth Management, LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Seacrest Wealth Management, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees)." }, { "q": "Where is Seacrest Wealth Management, LLC located?", "a": "Seacrest Wealth Management, LLC's principal office is in Purchase, NY, according to its Form ADV; the September 2026 filing also lists 13 other offices (Schedule D, Section 1.F)." }, { "q": "Is Seacrest Wealth Management, LLC registered with the SEC or a state?", "a": "Seacrest Wealth Management, LLC is an SEC-registered investment advisory firm, registered since 2008. Status as filed: Approved. CRD 147092." }, { "q": "How much does Seacrest Wealth Management, LLC manage?", "a": "Seacrest Wealth Management, LLC reports $1,533,465,779 in regulatory assets under management in its Form ADV filing dated August 10, 2026 (94% discretionary)." }, { "q": "How have Seacrest Wealth Management, LLC's assets and staff changed since 2021?", "a": "In the Form ADV data for Seacrest Wealth Management, LLC: Regulatory assets under management: $1,229,107,793 in the October 2021 data and $1,533,465,779 in the October 2026 data, up 25%. Total employees: 51 in October 2021 and 47 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Seacrest Wealth Management, LLC serve?", "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (1,102); high net worth individuals (373); charitable organizations (9)." }, { "q": "Which custodians does Seacrest Wealth Management, LLC use?", "a": "Seacrest Wealth Management, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets." }, { "q": "Does Seacrest Wealth Management, LLC report any disciplinary disclosures?", "a": "Reports 4 disclosure items on Form ADV Item 11: yes answers to 11.C(1) (SEC or CFTC finding of a false statement or omission), 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), and 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/147092" }, { "q": "What changed in Seacrest Wealth Management, LLC's recent Form ADV filings?", "a": "In the August 2026 filing data: Changed its office addresses in Scottsdale, AZ." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 1229107793.0, "total_employees": 51, "filing_date": "2021-09-22" }, { "period": "2022-10-01", "regulatory_assets_under_management": 1411738709.0, "total_employees": 53, "filing_date": "2022-03-31" }, { "period": "2023-10-01", "regulatory_assets_under_management": 1114787094.0, "total_employees": 51, "filing_date": "2023-08-11" }, { "period": "2024-10-01", "regulatory_assets_under_management": 1282887383.0, "total_employees": 51, "filing_date": "2024-04-22" }, { "period": "2025-10-01", "regulatory_assets_under_management": 1561182425.0, "total_employees": 51, "filing_date": "2025-02-07" }, { "period": "2026-10-01", "regulatory_assets_under_management": 1533465779.0, "total_employees": 47, "filing_date": "2026-08-10" } ], "recent_changes": [ { "period": "2026-08-01", "period_label": "August 2026", "notes": [ "Changed its office addresses in Scottsdale, AZ." ] }, { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Employees performing advisory functions went from 42 to 36.", "Changed its office addresses in Kansas City, MO.", "Added an office in Chatham, NJ.", "Added an office in Kissimmee, FL.", "No longer lists an office in Charleston, NC.", "No longer lists an office in Louisville, KY.", "No longer lists an office in Naperville, IL.", "No longer lists an office in Orinda, CA.", "No longer lists an office in Parrottsville, TN." ] } ], "fees_from_brochure": null, "custodians": [ { "name": "Charles Schwab & Co., Inc.", "name_as_filed": "CHARLES SCHWAB & CO., INC.", "affiliated": false } ], "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.", "markdown_url": "https://advisorcensus.com/firm/seacrest-wealth-management-llc-purchase-ny-147092.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 1102, "fewer_than_5": false, "raum": 300441118.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 373, "fewer_than_5": false, "raum": 1202914861.0 }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": 5, "fewer_than_5": false, "raum": 2979122.0 }, { "type": "charitable", "label": "Charitable organizations", "count": 9, "fewer_than_5": false, "raum": 6930177.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": 9, "fewer_than_5": false, "raum": 20200501.0 } ], "disclosure_line": "Reports 4 disclosure items on Form ADV Item 11.", "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/147092", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }