{
  "crd_number": 166808,
  "slug": "seros-wealth-partners-gilbert-az-166808",
  "primary_business_name": "SEROS WEALTH PARTNERS",
  "legal_name": "SEROS FINANCIAL, LLC",
  "dbas": [
    "SEROS WEALTH PARTNERS"
  ],
  "city": "Gilbert",
  "state": "AZ",
  "country": "United States",
  "cbsa_code": "38060",
  "metro": {
    "cbsa_code": "38060",
    "common_name": "Phoenix",
    "msa_name": "Phoenix-Mesa-Chandler, AZ",
    "path": "/advisors/az/phoenix"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2021-03-25",
  "years_registered": 5,
  "period": "2026-10-01",
  "filing_date": "2026-09-02",
  "carried_forward": false,
  "raum_total": 359182480.0,
  "raum_discretionary": 359182480.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 10,
  "advisory_employees": 7,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "other": {
      "raum": 0.0,
      "count": 0
    },
    "charitable": {
      "raum": 709233.0,
      "count": 2,
      "fewer_than_5": true
    },
    "individuals": {
      "raum": 123302149.0,
      "count": 320
    },
    "banking_thrift": {
      "raum": 0.0,
      "count": 0
    },
    "state_municipal": {
      "raum": 0.0,
      "count": null
    },
    "insurance_companies": {
      "raum": 0.0,
      "count": 0
    },
    "investment_companies": {
      "raum": 0.0,
      "count": 0
    },
    "pension_profit_sharing": {
      "raum": 15320769.0,
      "count": 8
    },
    "other_investment_advisers": {
      "raum": 0.0,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": 217828754.0,
      "count": 121
    },
    "pooled_investment_vehicles": {
      "raum": 0.0,
      "count": 1
    },
    "corporations_other_businesses": {
      "raum": 2021575.0,
      "count": 5
    },
    "business_development_companies": {
      "raum": 0.0,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": 0.0,
      "count": 0
    }
  },
  "compensation_types": [
    "fixed",
    "hourly",
    "percentage_of_aum",
    "performance_based",
    "subscription"
  ],
  "advisory_activities": [
    "financial_planning",
    "portfolio_management_individuals",
    "portfolio_management_pooled_vehicles",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "AZ",
    "CA",
    "CO",
    "NM",
    "TX"
  ],
  "websites": [
    "https://facebook.com/SEROSFINANCIAL",
    "https://linkedin.com/COMPANY/SEROS-FINANCIAL-LLC",
    "https://serosfinancial.com",
    "https://seroswealth.com",
    "https://twitter.com/SEROS360"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/166808",
  "city_as_filed": "GILBERT",
  "url": "https://advisorcensus.com/firm/seros-wealth-partners-gilbert-az-166808",
  "display_name": "Seros Wealth Partners",
  "summary": "Seros Wealth Partners is an SEC-registered investment advisory firm in Gilbert, AZ, registered since 2021, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated September 2, 2026.",
  "citation": "AdvisorCensus. Seros Wealth Partners (CRD 166808): 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",
    "Subscription fees (for a newsletter or periodical)",
    "Fixed fees (other than subscription fees)",
    "Performance-based fees"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for pooled investment vehicles (other than investment companies)",
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is Seros Wealth Partners compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Seros Wealth Partners reports these compensation arrangements: a percentage of assets under its management; hourly charges; subscription fees (for a newsletter or periodical); fixed fees (other than subscription fees); performance-based fees."
    },
    {
      "q": "Where is Seros Wealth Partners located?",
      "a": "Seros Wealth Partners' principal office is in Gilbert, AZ, according to its Form ADV; the October 2026 filing also lists 1 other office (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Seros Wealth Partners registered with the SEC or a state?",
      "a": "Seros Wealth Partners is an SEC-registered investment advisory firm, registered since 2021. Status as filed: Approved. CRD 166808."
    },
    {
      "q": "How much does Seros Wealth Partners manage?",
      "a": "Seros Wealth Partners reports $359,182,480 in regulatory assets under management in its Form ADV filing dated September 2, 2026 (100% discretionary)."
    },
    {
      "q": "How have Seros Wealth Partners' assets and staff changed since 2021?",
      "a": "In the Form ADV data for Seros Wealth Partners: Regulatory assets under management: $134,519,811 in the October 2021 data and $359,182,480 in the October 2026 data, up 167%. Total employees: 6 in October 2021 and 10 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Seros Wealth Partners serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (320); high net worth individuals (121); pension and profit sharing plans (but not the plan participants or government pension plans) (8)."
    },
    {
      "q": "Which custodians does Seros Wealth Partners use?",
      "a": "Seros Wealth Partners' most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Axos Clearing LLC, Charles Schwab & Co., Inc. and Jackson National Life Distributors LLC as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Seros Wealth Partners 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/166808"
    },
    {
      "q": "Does Seros Wealth Partners state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated June 5, 2026 says: \"Seros generally requires a minimum account size of $500,000. Seros, in its sole discretion, may waive the required minimum.\""
    },
    {
      "q": "What changed in Seros Wealth Partners' recent Form ADV filings?",
      "a": "In the October 2026 filing data: Added an office in Highlands Ranch, CO."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 134519811.0,
      "total_employees": 6,
      "filing_date": "2021-06-25"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 166752002.0,
      "total_employees": 6,
      "filing_date": "2022-07-19"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 187467128.0,
      "total_employees": 6,
      "filing_date": "2023-04-05"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 260841497.0,
      "total_employees": 5,
      "filing_date": "2024-03-12"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 301058504.0,
      "total_employees": 3,
      "filing_date": "2025-07-09"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 359182480.0,
      "total_employees": 10,
      "filing_date": "2026-09-02"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-10-01",
      "period_label": "October 2026",
      "notes": [
        "Added an office in Highlands Ranch, CO."
      ]
    },
    {
      "period": "2026-05-01",
      "period_label": "May 2026",
      "notes": [
        "Added the business name Seros Wealth Partners."
      ]
    },
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Employees performing advisory functions went from 3 to 7.",
        "Regulatory assets under management went from $301,058,504 to $359,182,480 (+19%)."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated June 5, 2026",
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": "$500,000",
    "account_minimum_may_be_waived": true,
    "minimum_annual_fee": null,
    "figures": [
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: $500,000 (the brochure says it may be waived or negotiated)"
        ],
        "quotes": [
          "Seros generally requires a minimum account size of $500,000. Seros, in its sole discretion, may waive the required minimum."
        ]
      }
    ],
    "quotes": [
      "Seros generally requires a minimum account size of $500,000. Seros, in its sole discretion, may waive the required minimum."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Axos Clearing LLC",
      "name_as_filed": "AXOS CLEARING LLC",
      "affiliated": false
    },
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "affiliated": false
    },
    {
      "name": "Jackson National Life Distributors LLC",
      "name_as_filed": "JACKSON NATIONAL LIFE DISTRIBUTORS LLC",
      "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/seros-wealth-partners-gilbert-az-166808.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 320,
      "fewer_than_5": false,
      "raum": 123302149.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 121,
      "fewer_than_5": false,
      "raum": 217828754.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 1,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 8,
      "fewer_than_5": false,
      "raum": 15320769.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 2,
      "fewer_than_5": true,
      "raum": 709233.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": null,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 5,
      "fewer_than_5": false,
      "raum": 2021575.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    }
  ],
  "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/166808",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}