DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
S••••••• F•••••••• G•••• I••
Latest filing Sep 17, 2026
First filing on the tape Mar 12, 2012 · 40 filings
SEC status approved since Apr 6, 1999
RAUM
$745M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$720M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$124M
derived; firm RAUM over IAPD count
Employees
10
6 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$745M as of Mar 25, 2026
Mar 12, 2012$186M then
HNW client RAUM$590M as of Mar 25, 2026
Mar 9, 2018$234M then
State-registered IARs (5.B.3)6 as of Mar 25, 2026
Mar 12, 20120 then
Employees (5.A)10 as of Mar 25, 2026
Feb 14, 201310 then
Private funds: no history
RAUM +12% over the last fiscal year+12% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Sep 17, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $124MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 81derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $463,170derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 1.5derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$590M79%
- Individuals$130M17%
- Pension and profit-sharing plans$23.3M3.1%
- Corporations and businesses$2.0M0.3%
- Individual clients
- 304reported
- HNW clients
- 181reported
- Pension plan clients
- 14reported
- Charitable clients
- n/areported
- Accounts
- 1,609reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd= related_bank= bd_reps=6.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L••• J••••• C•••••••••Certified Financial Planner | Colorado Springs, Co | Jun 3, 1999 | 36 y | 0 |
| C••••••••• R••••• D••••••Certified Financial Planner | Colorado Springs, Co | Jun 3, 1999 | 28 y | 0 |
| M•••••• J•••• H•••• | Colorado Springs, Co | Jun 28, 1999 | 40 y | 0 |
| A•••• M•••••• M•••••••••Certified Financial Planner | Colorado Springs, Co | May 18, 2011 | 15 y | 0 |
| P•••••• T••••• H••••Certified Financial Planner | Colorado Springs, Co | Jul 13, 2022 | 10 y | 0 |
| N••••••• D••••••Certified Financial Planner | Colorado Springs, Co | Nov 4, 2022 | 13 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• L•••• J••••• · President/Chief Compliance Officer/Shareholdercontrolsince 12/1998 · owns 75% or more
- C••••••••• R••••••• L•••• · Vice Presidentsince 12/2002 · owns less than 5%
- D••••••• C••••••••• R••••• · Shareholdersince 03/2024 · owns 5% to 10%
- M••••••••• A••••• M•••••• · Shareholdersince 03/2024 · owns 5% to 10%
- M••••••• J•••• D••• · Corporate Secretarysince 10/2003 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Colorado Springs, Co · principal | 6 | 0 | 0 | ||
| Tustin, Ca | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Corona Del Mar, CA3 employees
- Scottsdale, AZ2 employees
- Tustin, CA2 employees
What changed
consecutive filings, newest first
- Financial planning clients · 1-10 to 1-10Mar 25, 2026 to Sep 17, 2026
- Related adviser · false to unsetMar 25, 2026 to Sep 17, 2026
- Related bank · false to unsetMar 25, 2026 to Sep 17, 2026
- Related broker-dealer · false to unsetMar 25, 2026 to Sep 17, 2026
- Related insurance company · false to unsetMar 25, 2026 to Sep 17, 2026
- Succession · false to unsetMar 25, 2026 to Sep 17, 2026
- Accounts · 1,604 to 1,609Jan 5, 2026 to Mar 25, 2026
- Corporate clients · unset to 2.0Jan 5, 2026 to Mar 25, 2026
- HNW clients · 170 to 181Jan 5, 2026 to Mar 25, 2026
- Individual clients · 317 to 304Jan 5, 2026 to Mar 25, 2026
- Pension plan clients · 6 to 14Jan 5, 2026 to Mar 25, 2026
- Financial planning clients · 251-500 to 1-10Jan 5, 2026 to Mar 25, 2026
- Discretionary RAUM · $665M to $745MJan 5, 2026 to Mar 25, 2026
- HNW RAUM · $517M to $590MJan 5, 2026 to Mar 25, 2026
- Individual RAUM · $129M to $130MJan 5, 2026 to Mar 25, 2026
- Pension RAUM · $19.3M to $23.3MJan 5, 2026 to Mar 25, 2026
- RAUM · $665M to $745MJan 5, 2026 to Mar 25, 2026
- Financial planning clients · 251-500 to 251-500Mar 19, 2025 to Jun 4, 2025
- Accounts · 1,546 to 1,604Jun 18, 2024 to Mar 19, 2025
- HNW clients · 155 to 170Jun 18, 2024 to Mar 19, 2025
- Pension plan clients · 9 to 6Jun 18, 2024 to Mar 19, 2025
- Discretionary RAUM · $605M to $665MJun 18, 2024 to Mar 19, 2025
- HNW RAUM · $470M to $517MJun 18, 2024 to Mar 19, 2025
- Individual RAUM · $130M to $129MJun 18, 2024 to Mar 19, 2025
- Pension RAUM · $5.2M to $19.3MJun 18, 2024 to Mar 19, 2025
- RAUM · $605M to $665MJun 18, 2024 to Mar 19, 2025
- Accounts · 1,512 to 1,546Sep 21, 2023 to Mar 21, 2024
- HNW clients · 137 to 155Sep 21, 2023 to Mar 21, 2024
- Individual clients · 331 to 317Sep 21, 2023 to Mar 21, 2024
- Pension plan clients · 16 to 9Sep 21, 2023 to Mar 21, 2024
- Discretionary RAUM · $422M to $605MSep 21, 2023 to Mar 21, 2024
- HNW RAUM · $398M to $470MSep 21, 2023 to Mar 21, 2024
- Individual RAUM · $112M to $130MSep 21, 2023 to Mar 21, 2024
- Non-discretionary RAUM · $107M to $0Sep 21, 2023 to Mar 21, 2024
- Pension RAUM · $18.1M to $5.2MSep 21, 2023 to Mar 21, 2024
- RAUM · $529M to $605MSep 21, 2023 to Mar 21, 2024
- Accounts · 925 to 1,512Oct 5, 2022 to Mar 8, 2023
- Advisory employees · 4 to 6Oct 5, 2022 to Mar 8, 2023
- BD registered reps · 5 to 6Oct 5, 2022 to Mar 8, 2023
- HNW clients · 242 to 137Oct 5, 2022 to Mar 8, 2023
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- k•••••••@s•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 714-516-3390reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-752-8766reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/seamount-financial-group-inc./aboutreportedpublic record, Form ADV, Sep 18, 2026
- Website
- S•••••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 719-471-1171reportedpublic record, Form ADV, Sep 17, 2026
- Team page
- s•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $124Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026