{
  "crd_number": 288206,
  "slug": "seneca-capital-management-llc-denver-co-288206",
  "primary_business_name": "SENECA CAPITAL MANAGEMENT, LLC",
  "legal_name": "SENECA CAPITAL MANAGEMENT, LLC",
  "dbas": [],
  "city": "Denver",
  "state": "CO",
  "country": "United States",
  "cbsa_code": "19740",
  "metro": {
    "cbsa_code": "19740",
    "common_name": "Denver",
    "msa_name": "Denver-Aurora-Centennial, CO",
    "path": "/advisors/co/denver"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2021-05-11",
  "years_registered": 5,
  "period": "2026-10-01",
  "filing_date": "2026-03-23",
  "carried_forward": false,
  "raum_total": 120000000.0,
  "raum_discretionary": 120000000.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 1,
  "advisory_employees": 1,
  "client_count_bucket": null,
  "clients_by_type": {
    "pooled_investment_vehicles": {
      "raum": 120000000.0,
      "count": 2
    }
  },
  "compensation_types": [
    "percentage_of_aum",
    "performance_based"
  ],
  "advisory_activities": [
    "portfolio_management_pooled_vehicles"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "CO"
  ],
  "websites": [
    "https://linkedin.com/company/senecacapitalpartners",
    "https://senecacp.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/288206",
  "city_as_filed": "DENVER",
  "url": "https://advisorcensus.com/firm/seneca-capital-management-llc-denver-co-288206",
  "display_name": "Seneca Capital Management, LLC",
  "summary": "Seneca Capital Management, LLC is an SEC-registered investment advisory firm in Denver, CO, registered since 2021, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 23, 2026.",
  "citation": "AdvisorCensus. Seneca Capital Management, LLC (CRD 288206): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Performance-based fees"
  ],
  "advisory_activity_labels": [
    "Portfolio management for pooled investment vehicles (other than investment companies)"
  ],
  "quick_answers": [
    {
      "q": "How is Seneca Capital Management, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Seneca Capital Management, LLC reports these compensation arrangements: a percentage of assets under its management; performance-based fees."
    },
    {
      "q": "What does Seneca Capital Management, LLC's brochure say about its fees?",
      "a": "Its Form ADV Part 2A brochure dated March 23, 2026 states: Asset-based fee: 2% of assets a year. Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is Seneca Capital Management, LLC located?",
      "a": "Seneca Capital Management, LLC's principal office is in Denver, CO, according to its Form ADV."
    },
    {
      "q": "Is Seneca Capital Management, LLC registered with the SEC or a state?",
      "a": "Seneca Capital Management, LLC is an SEC-registered investment advisory firm, registered since 2021. Status as filed: Approved. CRD 288206."
    },
    {
      "q": "How much does Seneca Capital Management, LLC manage?",
      "a": "Seneca Capital Management, LLC reports $120,000,000 in regulatory assets under management in its Form ADV filing dated March 23, 2026 (100% discretionary)."
    },
    {
      "q": "How have Seneca Capital Management, LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Seneca Capital Management, LLC: Regulatory assets under management: $116,000,000 in the October 2021 data and $120,000,000 in the October 2026 data, up 3%. Total employees: 1 in October 2021 and 1 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Seneca Capital Management, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (2)."
    },
    {
      "q": "Does Seneca Capital Management, LLC report any disciplinary disclosures?",
      "a": "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/288206"
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 116000000.0,
      "total_employees": 1,
      "filing_date": "2021-04-09"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 200162463.0,
      "total_employees": 1,
      "filing_date": "2022-03-25"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 98162179.0,
      "total_employees": 1,
      "filing_date": "2023-06-20"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 96917000.0,
      "total_employees": 1,
      "filing_date": "2024-05-31"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 109385000.0,
      "total_employees": 1,
      "filing_date": "2025-05-05"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 120000000.0,
      "total_employees": 1,
      "filing_date": "2026-03-23"
    }
  ],
  "recent_changes": [],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 23, 2026",
    "tiers": [],
    "flat_rate": "2% of assets a year",
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": null,
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "figures": [
      {
        "label": "Asset-based fee",
        "statements": [
          "Asset-based fee: 2% of assets a year"
        ],
        "quotes": [
          "The Management Fee payable by the Funds is generally based on a percentage (generally 2% per annum) of called capital contributions.",
          "Under certain circumstances, the Management Fee, Manager Promote and other fees may be negotiated in the sole discretion of Seneca Capital Management and its affiliates."
        ]
      }
    ],
    "quotes": [
      "The Management Fee payable by the Funds is generally based on a percentage (generally 2% per annum) of called capital contributions.",
      "Under certain circumstances, the Management Fee, Manager Promote and other fees may be negotiated in the sole discretion of Seneca Capital Management and its affiliates."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/seneca-capital-management-llc-denver-co-288206.md",
  "clients": [
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 2,
      "fewer_than_5": false,
      "raum": 120000000.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "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/288206",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}