# Seamount Financial Group Inc

> Seamount Financial Group Inc is an SEC-registered investment advisory firm in Colorado Springs, CO, registered since 1999, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated September 17, 2026.

- CRD: 107834
- Filed as: SEAMOUNT FINANCIAL GROUP INC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Colorado Springs, CO
- Filing period: October 2026
- Form ADV filing dated: September 17, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/107834
- AdvisorCensus page: https://advisorcensus.com/firm/seamount-financial-group-inc-colorado-springs-co-107834

## Quick answers

**How is Seamount Financial Group Inc compensated?**
On its Form ADV (Item 5.E, October 2026), Seamount Financial Group Inc reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).

**How much does Seamount Financial Group Inc charge?**
Its Form ADV Part 2A brochure dated March 25, 2026 states: Hourly rate: $50 an hour (clerical work). Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Where is Seamount Financial Group Inc located?**
Seamount Financial Group Inc's principal office is in Colorado Springs, CO, according to its Form ADV; the October 2026 filing also lists 3 other offices (Schedule D, Section 1.F).

**Is Seamount Financial Group Inc registered with the SEC or a state?**
Seamount Financial Group Inc is an SEC-registered investment advisory firm, registered since 1999. Status as filed: Approved. CRD 107834.

**How much does Seamount Financial Group Inc manage?**
Seamount Financial Group Inc reports $745,240,537 in regulatory assets under management in its Form ADV filing dated September 17, 2026 (100% discretionary).

**How have Seamount Financial Group Inc's assets and staff changed since 2021?**
In the Form ADV data for Seamount Financial Group Inc: Regulatory assets under management: $468,000,000 in the October 2021 data and $745,240,537 in the October 2026 data, up 59%. Total employees: 9 in October 2021 and 10 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Seamount Financial Group Inc serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (304); high net worth individuals (181); pension and profit sharing plans (but not the plan participants or government pension plans) (14).

**Which custodians does Seamount Financial Group Inc use?**
Seamount Financial Group Inc's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists LPL Financial LLC as a custodian holding 10% or more of its separately managed account assets.

**Does Seamount Financial Group Inc report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/107834

**Does Seamount Financial Group Inc state an account minimum?**
Its Form ADV Part 2A brochure dated March 25, 2026 says: "We require a minimum of $500,000 to open and maintain an advisory account. At our discretion, we may waive this minimum account size."

**What changed in Seamount Financial Group Inc's recent Form ADV filings?**
In the October 2026 filing data: Registered or notice-filed in NC.

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Fees and minimums (Form ADV Part 2A brochure dated March 25, 2026)

- Account minimum: $500,000 (the brochure says it may be waived or negotiated)

> We require a minimum of $500,000 to open and maintain an advisory account. At our discretion, we may waive this minimum account size.

- Hourly rate: $50 an hour (clerical work)

> For clerical work, we charge an hourly rate of $50.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- LPL Financial LLC

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.

### Regulatory assets under management (Item 5.F)
- Total: $745,240,537
- Discretionary: $745,240,537
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 304 | $130,263,911 |
| High net worth individuals | 181 | $589,655,982 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 14 | $23,349,395 |
| Corporations or other businesses not listed above | 2 | $1,971,249 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services

### Firm details
- Registered since: 1999 (27 years)
- Employees: 10 total, 6 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AZ, CA, CO, FL, MI, NC, NE, NH, OR, TX, WA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Other offices (Schedule D, Section 1.F), as of the October 2026 filing
- Corona del Mar, CA
- Scottsdale, AZ
- Tustin, CA

### Websites listed on Form ADV (Item 1.I)
- seamountfinancial.com
- LinkedIn @seamount-financial-group-inc.

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $468,000,000 | 9 | April 7, 2021 |
| October 2022 | $546,000,000 | 9 | March 4, 2022 |
| October 2023 | $528,739,485 | 10 | September 21, 2023 |
| October 2024 | $604,710,584 | 10 | June 18, 2024 |
| October 2025 | $665,191,281 | 10 | June 4, 2025 |
| October 2026 | $745,240,537 | 10 | September 17, 2026 |

Regulatory assets under management: $468,000,000 in the October 2021 data and $745,240,537 in the October 2026 data, up 59%.
Total employees: 9 in October 2021 and 10 in October 2026.

## Changes in the filing (last 12 months)

### October 2026
- Registered or notice-filed in NC.

### April 2026
- Regulatory assets under management went from $665,191,281 to $745,240,537 (+12%).

### February 2026
- Registered or notice-filed in NE, OR.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Seamount Financial Group Inc (CRD 107834): Form ADV filing data as of October 2026.