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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

SEA OTTER ADVISORS LLC

CRD 321079

MIAMI, FL

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:65ae7366-afe1-61d0-6cf0-0fbe85e2fd53

Data as of Mar 27, 2024 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 6
On other graphs: 0
Observed: Aug 4, 2022 to Mar 27, 2024
6 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $125MItem 5.F on the latest filing (2024-03-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $125M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6
Advisory employees: 4
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 1
Private funds: 1Schedule D 7.B(1)
Private fund GAV: $125Mgross asset value as reported per fund; never fund size
Custody, client assets: $125M
SEC number: 801-126505
CIK: 1944662
CRD: 321079
Filings on the tape: 6
First filed: Aug 4, 2022
Latest filed: Mar 27, 2024
Organised: Limited Liability Company, Delaware

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
SEA OTTER TRADING LLC	Hedge Fund	$125M	Mar 27, 2024	8	Aug 4, 2022	reported	n/a

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
FAHEY, NICHOLAS, JOHN MICHAEL	Director	F	yes	08/2022	Aug 4, 2022	Mar 27, 2024
FAHEY, NICHOLAS, JOHN MICHAEL	Member	B	yes	04/2022	Aug 4, 2022	Mar 27, 2024
RAWLINS, JOSHUA, WILLIAM	CHIEF COMPLIANCE OFFICER / CHIEF FINANCIAL OFFICER	Na	yes	02/2024	Mar 1, 2024	Mar 27, 2024
SMITH, PETER, DAVID	Director	F	yes	04/2022	Aug 4, 2022	Mar 27, 2024
SMITH, PETER, DAVID	CHIEF EXECUTIVE OFFICER, MEMBER	C	yes	08/2022	Aug 4, 2022	Mar 27, 2024
GALVATRON CORPORATION	Member	C	no	04/2022	Aug 4, 2022	Mar 27, 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
MERCER STREET CAPITAL PARTNERS, LLC	n/a	n/a	n/a	N	yes	n/a
SEA OTTER GLOBAL VENTURES	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	1	no

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

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023	Mar 27, 2024	$125M	$125M	6	4	1	1	$125M
2022	Mar 30, 2023	$68.8M	$68.8M	9	5	1	1	$68.8M

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
2023	$125M	$68.8M	81.2%	n/a	n/a	6	9	1	1

Relationships

Advises (1)

→ SEA OTTER TRADING LLCPrivate fundHedge Fund, IA
Aug 4, 2022 to presentfactForm ADV

Controls (3)

← RAWLINS, JOSHUA, WILLIAMOwnerCHIEF COMPLIANCE OFFICER / CHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 1, 2024 to presentfactForm ADV
← FAHEY, NICHOLAS, JOHN MICHAELOwnerDIRECTOR, ownership code F, individual
Aug 4, 2022 to presentfactForm ADV
← SMITH, PETER, DAVIDOwnerDIRECTOR, ownership code F, individual
Aug 4, 2022 to presentfactForm ADV

Owns (1)

← GALVATRON CORPORATIONOwnerMEMBER, ownership code C, domestic entity
Aug 4, 2022 to presentfactForm ADV

Dated events

Occurred
May 2, 2025
Left the SEC roster
Sea Otter Advisors Llc no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $124.7M)
Form ADVobserved 5 days ago
$125M
Occurred
Mar 1, 2024
Control person left
Nmn Jeffrey Hwang (Chief Compliance Officer / Chief Financial Officer) no longer on Schedule A of Sea Otter Advisors Llc (listed 2023-11-30, absent 2024-03-01)
Form ADVobserved 5 days ago
Occurred
Mar 1, 2024
Control person joined
William Joshua Rawlins (Chief Compliance Officer / Chief Financial Officer) appeared on Schedule A of Sea Otter Advisors Llc
Form ADVobserved 5 days ago
Occurred
Nov 30, 2023
Control person left
John Patrick Kane (Chief Compliance Officer) no longer on Schedule A of Sea Otter Advisors Llc (listed 2023-05-09, absent 2023-11-30)
Form ADVobserved 5 days ago
Occurred
Mar 30, 2023
Regulatory AUM changed
Sea Otter Advisors Llc reported RAUM $68.8M, down 74% from $269.4M (2022-08-04 to 2023-03-30)
Form ADVobserved 5 days ago
$-201M
Occurred
Aug 4, 2022
First Form ADV filing
Sea Otter Advisors Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:65ae7366-afe1-61d0-6cf0-0fbe85e2fd53
First observed: Aug 4, 2022
Last observed: Mar 27, 2024 30 months 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.

SEA OTTER ADVISORS LLC

CRD 321079

MIAMI, FL

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:65ae7366-afe1-61d0-6cf0-0fbe85e2fd53

Data as of Mar 27, 2024 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:57 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

SEA OTTER TRADING LLC

Hedge Fund

$125M

Mar 27, 2024

Aug 4, 2022

reported

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

FAHEY, NICHOLAS, JOHN MICHAEL

Director

yes

08/2022

Aug 4, 2022

Mar 27, 2024

FAHEY, NICHOLAS, JOHN MICHAEL

Member

yes

04/2022

Aug 4, 2022

Mar 27, 2024

RAWLINS, JOSHUA, WILLIAM

CHIEF COMPLIANCE OFFICER / CHIEF FINANCIAL OFFICER

yes

02/2024

Mar 1, 2024

Mar 27, 2024

SMITH, PETER, DAVID

Director

yes

04/2022

Aug 4, 2022

Mar 27, 2024

SMITH, PETER, DAVID

CHIEF EXECUTIVE OFFICER, MEMBER

yes

08/2022

Aug 4, 2022

Mar 27, 2024

GALVATRON CORPORATION

Member

04/2022

Aug 4, 2022

Mar 27, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

MERCER STREET CAPITAL PARTNERS, LLC

n/a

yes

n/a

SEA OTTER GLOBAL VENTURES

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

NEW YORK

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2023

Mar 27, 2024

$125M

2022

Mar 30, 2023

$68.8M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2023

$125M

$68.8M

81.2%

n/a