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.

SEC-registered adviser

Sera Capital Management, LLC

Independent wealth managerAnnapolis, MarylandCRD 120896SEC 801-135960websiteIAPD
Legal name Sera Capital Management Limited Liability Company
Latest filing Jun 24, 2026
First filing on the tape Apr 14, 2026 · 2 filings
SEC status approved since Apr 23, 2026
RAUM
$114M
reported, Item 5.F
Discretionary
82%
of RAUM
Private clients
100%
$114M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$22.9M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$114M as of Jun 24, 2026
Apr 14, 2026$114M then
HNW client RAUM$17.8M as of Jun 24, 2026
Apr 14, 2026$17.8M then
State-registered IARs (5.B.3)5 as of Jun 24, 2026
Apr 14, 20265 then
Employees (5.A)5 as of Jun 24, 2026
Apr 14, 20265 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 24, 2026; every figure names its basis
Archetypes, each a printed rule
  • Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
  • Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
RAUM per advisor
$22.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
15derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$636,112derivedHNW RAUM over HNW clients
Average account
$1.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
82%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.7derived3 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody
$10.4M, 2 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$96.4M84%
  • High-net-worth individuals$17.8M16%
Individual clients
46reported
HNW clients
28reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
106reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
$10.4M for 2 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Carl Edward SeraAnnapolis, MdFeb 19, 201619 y0
Joseph Anthony SeraAnnapolis, MdApr 19, 202110 y0
Carlos Manuel SeraAnnapolis, MdApr 24, 202138 y1
Roman Gabriel BaloghAnnapolis, MdJan 1, 202512 y0
Juan Rafael SeraScottsdale, Az Nov 12, 202522 y0
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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Edward Carl Sera · Managing Principal, Portfolio Manager, & Ccocontrol
    since 02/2016 · owns less than 5%
  • Manuel Carlos Sera · Managing Principalcontrol
    since 04/1990 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Annapolis, Md · principal510
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
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 phone
443-373-5691reportedpublished by the firm, firm site, Sep 16, 2026
Business phone
443-332-1031reportedpublished by the firm, firm site, Sep 16, 2026
Website
SERACAPITAL.COMreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone
301-464-8333reportedpublic record, Form ADV, Jun 24, 2026
Contact form
seracapital.com/contactreportedpublished by the firm, firm site, Sep 16, 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
$22.9Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026