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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

SEAL FINANCIAL SERVICES, INC.

CRD 113945

DENVER, CO

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:c2d5de67-e46d-da2e-3b8d-7bf76235f03e

Data as of Mar 21, 2014 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:44 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 26, 2012 to Mar 21, 2014
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: $113MItem 5.F on the latest filing (2014-03-21); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $99.8M
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: 3
Accounts: 521
SEC number: 801-61050
CRD: 113945
Filings on the tape: 6
First filed: Mar 26, 2012
Latest filed: Mar 21, 2014
Organised: Corporation, Colorado

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
MCCOY, JANET, LENORE	CHIEF COMPLIANCE OFFICER	C	yes	01/2004	Mar 26, 2012	Mar 21, 2014
SEAL, GREGORY, PHILLIP	President	D	yes	01/1985	Mar 26, 2012	Mar 21, 2014

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
BRADLEY FRIGON	n/a	n/a	n/a	N	no	n/a
C-HALL	n/a	n/a	n/a	Y	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

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2013	Mar 21, 2014	$113M	$99.8M	6	3	n/a	n/a	n/a
2012	Mar 28, 2013	$106M	$9.1M	6	3	n/a	n/a	n/a
2011	Mar 26, 2012	$97.5M	$6.4M	n/a	n/a	n/a	n/a	n/a

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
2013	$113M	$106M	7.4%	n/a	n/a	6	6	n/a	n/a

Relationships

Controls (2)

← SEAL, GREGORY, PHILLIPOwnerPRESIDENT, ownership code D, individual
Mar 26, 2012 to presentfactForm ADV
← MCCOY, JANET, LENOREOwnerCHIEF COMPLIANCE OFFICER, ownership code C, individual
Mar 26, 2012 to presentfactForm ADV

Registered with (1)

← ALBERT G FLORESAdvisorregistration: previous registration
Oct 20, 2011 to Feb 9, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c2d5de67-e46d-da2e-3b8d-7bf76235f03e
First observed: Mar 26, 2012
Last observed: Mar 21, 2014 152 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.

SEAL FINANCIAL SERVICES, INC.

CRD 113945

DENVER, CO

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:c2d5de67-e46d-da2e-3b8d-7bf76235f03e

Data as of Mar 21, 2014 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:44 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

MCCOY, JANET, LENORE

CHIEF COMPLIANCE OFFICER

yes

01/2004

Mar 26, 2012

Mar 21, 2014

SEAL, GREGORY, PHILLIP

President

yes

01/1985

Mar 26, 2012

Mar 21, 2014

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

BRADLEY FRIGON

n/a

C-HALL

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2013

Mar 21, 2014

$113M

$99.8M

n/a

2012

Mar 28, 2013

$106M

$9.1M

n/a

2011

Mar 26, 2012

$97.5M

$6.4M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2013

$113M

$106M

7.4%

n/a