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
Sebold Capital Management, Inc
Latest filing Mar 23, 2026
First filing on the tape Mar 30, 2012 · 30 filings
SEC status approved since Sep 27, 2013
RAUM
$364M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
88%
$322M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$182M
derived; firm RAUM over IAPD count
Employees
9
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$364M as of Mar 23, 2026
Mar 30, 2012$75.3M then
HNW client RAUM$301M as of Mar 23, 2026
Mar 29, 2018$107M then
State-registered IARs (5.B.3)2 as of Mar 23, 2026
Mar 30, 20120 then
Employees (5.A)9 as of Mar 23, 2026
Jan 29, 20146 then
Private funds: no history
RAUM +10.0% over the last fiscal year+12% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 23, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $182MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 97derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $409,799derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, educational seminarsreportedItem 5.G
- Custody
- $163M, 143 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)
- 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
- High-net-worth individuals$301M83%
- Pension and profit-sharing plans$42.0M12%
- Individuals$20.9M5.7%
- Corporations and businesses$234,7940.1%
- Individual clients
- 75reported
- HNW clients
- 119reported
- Pension plan clients
- 8reported
- Charitable clients
- n/areported
- Accounts
- 889reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $163M for 143 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.88 fund_share=0.0 institutional_share=0.12 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Sean Thomas SeboldCertified Financial Planner, Chartered Financial Analyst | Lisle, Il | Apr 29, 1998 | 31 y | 1 |
| Nicholas William NiemiCertified Financial Planner | Lisle, Il | Nov 2, 2025 | 13 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Robert Francis Costello to Costello Financial Planning, Inc.Apr 17, 2015 · Other
- Curtis Louis Stowers to F5 Financial Planning, L.L.C.Feb 26, 2014 · Other
- Sean Thomas Sebold to The Mather Group, LLCDec 31, 2002 · Other
Joined, latest
- Nicholas William Niemi from Merrill Lynch, Pierce, Fenner & Smith IncorporatedNov 2, 2025 · Wirehouse to independent RIA
- Curtis Louis Stowers from F5 Financial Planning, LLCFeb 22, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Thomas Sean Sebold · President/Chief Compliance Officercontrolsince 04/1998 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 880 to 889Mar 21, 2025 to Mar 23, 2026
- Charity clients · 1.0 to unsetMar 21, 2025 to Mar 23, 2026
- HNW clients · 76 to 119Mar 21, 2025 to Mar 23, 2026
- Individual clients · 119 to 75Mar 21, 2025 to Mar 23, 2026
- Pension plan clients · 9 to 8Mar 21, 2025 to Mar 23, 2026
- Assets in custody · $164M to $163MMar 21, 2025 to Mar 23, 2026
- Discretionary RAUM · $294M to $324MMar 21, 2025 to Mar 23, 2026
- HNW RAUM · $266M to $301MMar 21, 2025 to Mar 23, 2026
- Individual RAUM · $24.8M to $20.9MMar 21, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $37.5M to $40.8MMar 21, 2025 to Mar 23, 2026
- Pension RAUM · $38.6M to $42.0MMar 21, 2025 to Mar 23, 2026
- RAUM · $331M to $364MMar 21, 2025 to Mar 23, 2026
- Accounts · 813 to 880Mar 15, 2024 to Mar 21, 2025
- HNW clients · 87 to 76Mar 15, 2024 to Mar 21, 2025
- Individual clients · 71 to 119Mar 15, 2024 to Mar 21, 2025
- Pension plan clients · 7 to 9Mar 15, 2024 to Mar 21, 2025
- Assets in custody · $149M to $164MMar 15, 2024 to Mar 21, 2025
- Employees · 8 to 9Mar 15, 2024 to Mar 21, 2025
- Financial planning clients · 101-250 to 101-250Mar 15, 2024 to Mar 21, 2025
- Discretionary RAUM · $233M to $294MMar 15, 2024 to Mar 21, 2025
- HNW RAUM · $242M to $266MMar 15, 2024 to Mar 21, 2025
- Individual RAUM · $26.6M to $24.8MMar 15, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $70.7M to $37.5MMar 15, 2024 to Mar 21, 2025
- Pension RAUM · $33.2M to $38.6MMar 15, 2024 to Mar 21, 2025
- RAUM · $304M to $331MMar 15, 2024 to Mar 21, 2025
- Accounts · 871 to 813Mar 29, 2023 to Mar 15, 2024
- Advisory employees · 3 to 2Mar 29, 2023 to Mar 15, 2024
- HNW clients · 85 to 87Mar 29, 2023 to Mar 15, 2024
- Individual clients · 61 to 71Mar 29, 2023 to Mar 15, 2024
- Assets in custody · $156M to $149MMar 29, 2023 to Mar 15, 2024
- Employees · 5 to 8Mar 29, 2023 to Mar 15, 2024
- State-registered IARs · 3 to 2Mar 29, 2023 to Mar 15, 2024
- Discretionary RAUM · $196M to $233MMar 29, 2023 to Mar 15, 2024
- HNW RAUM · $207M to $242MMar 29, 2023 to Mar 15, 2024
- Individual RAUM · $19.0M to $26.6MMar 29, 2023 to Mar 15, 2024
- Non-discretionary RAUM · $62.5M to $70.7MMar 29, 2023 to Mar 15, 2024
- Pension RAUM · $28.6M to $33.2MMar 29, 2023 to Mar 15, 2024
- RAUM · $259M to $304MMar 29, 2023 to Mar 15, 2024
- Accounts · 841 to 871Mar 29, 2022 to Mar 29, 2023
- Advisory employees · 2 to 3Mar 29, 2022 to Mar 29, 2023
Signals
1 dated events
- Sebold Capital Management, Inc filed its initial SEC registration (Form ADV)Sep 19, 2013 · First SEC registration · fact
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
- Website
- SEBOLDCAPITAL.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 630-548-9700reportedpublic record, Form ADV, Mar 23, 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
- $182Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026