# Seraph Capital Associates, LLC

> Seraph Capital Associates, LLC is an SEC-registered investment advisory firm in Bartlesville, OK, registered since 2018, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated July 31, 2026.

- CRD: 165754
- Filed as: SERAPH CAPITAL ASSOCIATES, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Bartlesville, OK
- Filing period: October 2026
- Form ADV filing dated: July 31, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/165754
- AdvisorCensus page: https://advisorcensus.com/firm/seraph-capital-associates-llc-bartlesville-ok-165754

## Quick answers

**How is Seraph Capital Associates, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Seraph Capital Associates, LLC reports these compensation arrangements: a percentage of assets under its management.

**Where is Seraph Capital Associates, LLC located?**
Seraph Capital Associates, LLC's principal office is in Bartlesville, OK, according to its Form ADV.

**Is Seraph Capital Associates, LLC registered with the SEC or a state?**
Seraph Capital Associates, LLC is an SEC-registered investment advisory firm, registered since 2018. Status as filed: Approved. CRD 165754.

**How much does Seraph Capital Associates, LLC manage?**
Seraph Capital Associates, LLC reports $90,287,578 in regulatory assets under management in its Form ADV filing dated July 31, 2026 (100% discretionary).

**How have Seraph Capital Associates, LLC's assets and staff changed since 2021?**
In the Form ADV data for Seraph Capital Associates, LLC: Regulatory assets under management: $56,278,043 in the October 2021 data and $90,287,578 in the October 2026 data, up 60%. 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.

**What types of clients does Seraph Capital Associates, LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (211); pension and profit sharing plans (but not the plan participants or government pension plans) (70); corporations or other businesses not listed above (50).

**Which custodians does Seraph Capital Associates, LLC use?**
Seraph Capital Associates, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc., Fidelity Brokerage Services LLC and Interactive Brokers LLC as custodians holding 10% or more of its separately managed account assets.

**Does Seraph Capital Associates, LLC 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/165754

**What changed in Seraph Capital Associates, LLC's recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $77,508,168 to $90,287,578 (+16%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.
- Fidelity Brokerage Services LLC
- Interactive Brokers 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: $90,287,578
- Discretionary: $90,287,578
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 211 | $17,704,693 |
| High net worth individuals | 48 | $12,280,219 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 8 | $48,840 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 70 | $13,903,454 |
| Charitable organizations | 17 | $7,503,722 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 41 | $32,961,062 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 50 | $5,885,588 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients

### Firm details
- Registered since: 2018 (8 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AR, AZ, KS, MN, OK, SD, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $56,278,043 | 1 | March 31, 2021 |
| October 2022 | $61,260,336 | 1 | March 29, 2022 |
| October 2023 | $65,075,378 | 1 | March 30, 2023 |
| October 2024 | $74,319,083 | 1 | June 20, 2024 |
| October 2025 | $77,508,168 | 1 | March 28, 2025 |
| October 2026 | $90,287,578 | 1 | July 31, 2026 |

Regulatory assets under management: $56,278,043 in the October 2021 data and $90,287,578 in the October 2026 data, up 60%.
Total employees: 1 in October 2021 and 1 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $77,508,168 to $90,287,578 (+16%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Seraph Capital Associates, LLC (CRD 165754): Form ADV filing data as of October 2026.