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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

SEROS WEALTH PARTNERS

SEROS FINANCIAL, LLC, CRD 166808

GILBERT, AZ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:553b78b7-65b5-c684-3f1c-321d84dcb803

Data as of Sep 2, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 4
On other graphs: 0
Observed: Feb 23, 2021 to Sep 2, 2026
24 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.95 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $359MItem 5.F on the latest filing (2026-09-02); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $359M
Private client RAUM: $341MderivedItem 5.D individuals plus high net worth individuals
Private client share: 95%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 8
RAUM per advisor: $44.9Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 10
Advisory employees: 7
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 1,049
Individual clients: 320
High net worth clients: 121
SEC number: 801-120609
CRD: 166808
Filings on the tape: 24
First filed: Feb 23, 2021
Latest filed: Sep 2, 2026
Organised: Limited Liability Company, AZ

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
JEFFREY PETERSON WILCOCK	n/a	GILBERT, AZ	13	36	2	no
JEREMY WINDELL SMITH	n/a	GILBERT, AZ	13	19	3	no
JILL E BAUMES	n/a	GILBERT, AZ	13	15	1	no
SHEROD NORTON BIGELOW	n/a	GILBERT, AZ	12	27	1	no
Ashlee Victoria Merkley	n/a	GILBERT, AZ	4	10	n/a	no
Whitney M. Hendricks	n/a	GILBERT, AZ	0	10	1	no
Kaitlyn Ann-Crawley Morgan	n/a	GILBERT, AZ	0	12	1	no
Joshua Daniel Magnus	n/a	GILBERT, AZ \| Highlands Ranch, CO	0	13	4	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
SMITH, JEREMY, WINDELL	MANAGING MEMBER	E	yes	02/2013	Feb 23, 2021	Nov 25, 2024
BIGELOW, SHEROD, NORTON	CHIEF COMPLIANCE OFFICER	Na	no	02/2013	Feb 23, 2021	Nov 25, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
SEROS FINANCIAL, LLC	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 5 of 6

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 29, 2026	$359M	$359M	10	7	0	n/a	n/a
2024	Apr 16, 2025	$301M	$286M	4	4	0	n/a	n/a
2023	Mar 8, 2024	$261M	$246M	6	6	0	n/a	n/a
2022	Feb 20, 2023	$187M	$184M	6	6	0	n/a	n/a
2021	Feb 11, 2022	$167M	$166M	7	7	1	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
3	0	3	0.0%	1	0	0	3	2

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$359M	$301M	19.3%	$187M	24.2%	10	4	1	0

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
SEVENSUEDE INVESTMENT ADVISOR	2	Feb 4, 2026	Feb 17, 2026	GILBERT, AZ	Team lift out	Other	50.0%
NEWMARK CAPITAL MANAGEMENT, LLC	4	Dec 31, 2020	Feb 9, 2021	TEMPE, AZ	Firm absorbed	Other	100.0%
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER	2	Nov 20, 2017	Jul 26, 2017	TEMPE, AZ	Team lift out	Other	1.1%

Relationships

Registered with (12)

← Joshua Daniel MagnusAdvisorregistration: current employment
Aug 13, 2026 to presentfactForm ADV
← Kaitlyn Ann-Crawley MorganAdvisorregistration: current employment
Feb 17, 2026 to presentfactForm ADV
← Whitney M. HendricksAdvisorregistration: current employment
Feb 13, 2026 to presentfactForm ADV
← Ashlee Victoria MerkleyAdvisorregistration: current employment
Nov 3, 2021 to presentfactForm ADV
← SHEROD NORTON BIGELOWAdvisorregistration: current employment
Feb 26, 2014 to presentfactForm ADV
← JEFFREY PETERSON WILCOCKAdvisorregistration: current employment
Mar 11, 2013 to presentfactForm ADV
← JEREMY WINDELL SMITHAdvisorregistration: current employment
Mar 11, 2013 to presentfactForm ADV
← JILL E BAUMESAdvisorregistration: current employment
Mar 11, 2013 to presentfactForm ADV
← LENNARD CUNO VAN DER FELTZAdvisorregistration: previous registration
Jul 26, 2017 to Nov 25, 2024factForm ADV
← COLLIN M BRYCEAdvisorregistration: previous registration
Feb 9, 2021 to Mar 12, 2024factForm ADV
← ANDRES ANTONIO FAVELAAdvisorregistration: previous registration
Jul 26, 2017 to Apr 5, 2018factForm ADV
← Bryce Thomas KeffelerAdvisorregistration: previous registration
Oct 30, 2017 to Feb 28, 2018factForm ADV

Moved with (2)

← SEVENSUEDE INVESTMENT ADVISORRegistered adviser2 advisors, team lift out
Feb 4, 2026 to Feb 17, 2026factForm ADV
← UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNERRegistered adviser2 advisors, team lift out, same day
Nov 20, 2017 to Jul 26, 2017factForm ADV

Owns (1)

← BIGELOW, SHEROD, NORTONOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Feb 23, 2021 to Nov 25, 2024factForm ADV

Controls (1)

← SMITH, JEREMY, WINDELLOwnerMANAGING MEMBER, ownership code E, individual
Feb 23, 2021 to Nov 25, 2024factForm ADV

Dated events

Occurred
Feb 4, 2026
Team lift-out
2 advisors left Sevensuede Investment Advisor (Gilbert, AZ) for Seros Wealth Partners within 5 days
Form ADVobserved 6 days ago
2 advisors
Occurred
Nov 25, 2024
Advisor changed firm
Lennard Cuno Van Der Feltz left Seros Wealth Partners for Cetera Investment Advisers Llc (registered 2024-11-13)
Form ADVobserved 6 days ago
Occurred
Mar 12, 2024
Advisor changed firm
Collin M Bryce left Seros Wealth Partners for Go Wealth Management (registered 2024-05-03)
Form ADVobserved 6 days ago
Occurred
Feb 23, 2021
First Form ADV filing
Seros Financial, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:553b78b7-65b5-c684-3f1c-321d84dcb803
First observed: Feb 23, 2021
Last observed: Sep 2, 2026 19 days ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

SEROS WEALTH PARTNERS

SEROS FINANCIAL, LLC, CRD 166808

GILBERT, AZ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:553b78b7-65b5-c684-3f1c-321d84dcb803

Data as of Sep 2, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:46 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

JEFFREY PETERSON WILCOCK

n/a

GILBERT, AZ

JEREMY WINDELL SMITH

n/a

GILBERT, AZ

JILL E BAUMES

n/a

GILBERT, AZ

SHEROD NORTON BIGELOW

n/a

GILBERT, AZ

Ashlee Victoria Merkley

n/a

GILBERT, AZ

n/a

Whitney M. Hendricks

n/a

GILBERT, AZ

Kaitlyn Ann-Crawley Morgan

n/a

GILBERT, AZ

Joshua Daniel Magnus

n/a

GILBERT, AZ | Highlands Ranch, CO

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

SMITH, JEREMY, WINDELL

MANAGING MEMBER

yes

02/2013

Feb 23, 2021

Nov 25, 2024

BIGELOW, SHEROD, NORTON

CHIEF COMPLIANCE OFFICER

02/2013

Feb 23, 2021

Nov 25, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

SEROS FINANCIAL, LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Apr 29, 2026

$359M

n/a

2024

Apr 16, 2025

$301M

$286M

n/a

2023

Mar 8, 2024

$261M

$246M

n/a

2022

Feb 20, 2023

$187M

$184M

n/a

2021

Feb 11, 2022

$167M

$166M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$359M

$301M

19.3%

$187M

24.2%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

SEVENSUEDE INVESTMENT ADVISOR

Feb 4, 2026

Feb 17, 2026

GILBERT, AZ

Team lift out

Other

50.0%

NEWMARK CAPITAL MANAGEMENT, LLC

Dec 31, 2020

Feb 9, 2021

TEMPE, AZ

Firm absorbed

Other

100.0%

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

Nov 20, 2017

Jul 26, 2017

TEMPE, AZ

Team lift out

Other

1.1%