# Seraphim Capital Management, LLC

> Seraphim Capital Management, LLC is an SEC-registered investment advisory firm, registered since 2021, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated February 10, 2026.

- CRD: 170976
- Filed as: SERAPHIM CAPITAL MANAGEMENT, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Filing period: October 2026
- Form ADV filing dated: February 10, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/170976
- AdvisorCensus page: https://advisorcensus.com/firm/seraphim-capital-management-llc-170976

## Quick answers

**How is Seraphim Capital Management, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Seraphim Capital Management, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; performance-based fees.

**How much does Seraphim Capital Management, LLC charge?**
Its Form ADV Part 2A brochure dated February 10, 2026 states: Hourly rate: $350 an hour (financial consulting). Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Is Seraphim Capital Management, LLC registered with the SEC or a state?**
Seraphim Capital Management, LLC is an SEC-registered investment advisory firm, registered since 2021. Status as filed: Approved. CRD 170976.

**How much does Seraphim Capital Management, LLC manage?**
Seraphim Capital Management, LLC reports $63,000,000 in regulatory assets under management in its Form ADV filing dated February 10, 2026 (100% discretionary).

**How have Seraphim Capital Management, LLC's assets and staff changed since 2021?**
In the Form ADV data for Seraphim Capital Management, LLC: Regulatory assets under management: $51,530,461 in the October 2021 data and $63,000,000 in the October 2026 data, up 22%. Total employees: 3 in October 2021 and 3 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Seraphim Capital Management, LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (172); high net worth individuals (8).

**Which custodians does Seraphim Capital Management, LLC use?**
Seraphim Capital Management, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Interactive Brokers LLC and LPL Financial LLC as custodians holding 10% or more of its separately managed account assets.

**Does Seraphim Capital Management, 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/170976

**What changed in Seraphim Capital Management, LLC's recent Form ADV filings?**
In the March 2026 filing data: Regulatory assets under management went from $53,000,000 to $63,000,000 (+19%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Performance-based fees

### Fees and minimums (Form ADV Part 2A brochure dated February 10, 2026)

- Hourly rate: $350 an hour (financial consulting)

> In some circumstances, SCM may provide financial consulting at $350 per hour.

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

### Custodians (Schedule D, Section 5.K(3))
- Interactive Brokers LLC
- 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: $63,000,000
- Discretionary: $63,000,000
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 172 | $29,000,000 |
| High net worth individuals | 8 | $34,000,000 |

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

### Firm details
- Registered since: 2021 (5 years)
- Employees: 3 total, 3 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CO, NJ, NY, PA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Other offices (Schedule D, Section 1.F), as of the March 2026 filing
- Morristown, NJ
- Pennsburg, PA

### Websites listed on Form ADV (Item 1.I)
- seraphimcapitalmanagement.com
- Facebook @SeraphimCapitalManagement
- LinkedIn @seraphim-capital-management1
- X @seraphimcapital
- YouTube @seraphimcapitalmanagement

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $51,530,461 | 3 | July 30, 2021 |
| October 2022 | $54,000,000 | 3 | September 20, 2022 |
| October 2023 | $46,872,580 | 3 | March 21, 2023 |
| October 2024 | $48,831,521 | 3 | August 28, 2024 |
| October 2025 | $53,000,000 | 3 | March 31, 2025 |
| October 2026 | $63,000,000 | 3 | February 10, 2026 |

Regulatory assets under management: $51,530,461 in the October 2021 data and $63,000,000 in the October 2026 data, up 22%.
Total employees: 3 in October 2021 and 3 in October 2026.

## Changes in the filing (last 12 months)

### March 2026
- Regulatory assets under management went from $53,000,000 to $63,000,000 (+19%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Seraphim Capital Management, LLC (CRD 170976): Form ADV filing data as of October 2026.