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.
Former SEC-registered adviser
Seascape Capital Management,LLC
Latest filing Mar 16, 2026
First filing on the tape Feb 29, 2012 · 28 filings
SEC status approved since Apr 9, 2014
RAUM
$467M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$457M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$467M as of Mar 16, 2026
Feb 29, 2012$81.4M then
HNW client RAUM$455M as of Mar 16, 2026
Mar 12, 2018$156M then
State-registered IARs (5.B.3)4 as of Mar 16, 2026
Mar 24, 20153 then
Employees (5.A)6 as of Mar 16, 2026
Mar 24, 20157 then
Private funds: no history
RAUM +17% over the last fiscal year+18% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 16, 2026; every figure names its basis
- RAUM per advisor
- $117MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 42derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $636,975derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $145M, 84 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$455M97%
- Corporations and businesses$6.2M1.3%
- Charitable organizations$4.0M0.9%
- Individuals$1.8M0.4%
- Individual clients
- 20reported
- HNW clients
- 149reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 733reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $145M for 84 clientsreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
4 left, 0 joined in 12 months
net -4 in 12 months4 left in 90 days0 joined in 90 days4 left over 36 months
Left, latest
- Laurie Barrett to F L Putnam Investment Management Co.Aug 28, 2026 · RIA to RIA
- Christian Leigh Sullivan to F L Putnam Investment Management Co.Aug 28, 2026 · RIA to RIA
- Andrew Mark Litzerman to F L Putnam Investment Management Co.Aug 28, 2026 · RIA to RIA
- Monica Ann Mccarthy to F L Putnam Investment Management Co.Aug 28, 2026 · RIA to RIA
- Sarah E Schiavoni to LPL Financial LLCJun 30, 2009 · Other
- Charles Bruce Riopel to Charles Schwab & Co., Inc.Dec 13, 2006 · Other
Joined, latest
- Laurie Barrett from Prentiss Smith & Company, Inc.Mar 18, 2021 · RIA to RIA
- Christian Leigh Sullivan from Advice And Planning ServicesMay 23, 2018 · Affiliated broker-dealer or bank to independent RIA
- Andrew Mark Litzerman from Citigroup Global Markets Inc.Oct 8, 2015 · Other
- Monica Ann Mccarthy from Th&T Private Asset Management, LLCApr 11, 2005 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for F L Putnam Investment Management Co.Aug 28, 2026 · Portsmouth, Nh · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Ann Monica Mccarthy · Managing Member And Presidentcontrolsince 04/2005 · owns less than 5%
- William Donald Nelson · Chief Compliance Officercontrolsince 01/2023 · owns less than 5%
- Ann Monica Mccarthy · Trustee And Managing Membercontrolsince 11/2015 · owns 50% to 75% of The Monica Ann Mccarthy Trust
- Mark Andrew Litzerman · Chief Investment Officersince 02/2019 · owns less than 5%
Entity owners
- The James W. Mccarthy Revocable Trust Of 1993 · Shareholderdirect · owns 25% to 50%
- The Monica Ann Mccarthy Trust · Shareholderdirect · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| North Hampton, Nh | 0 | 0 | 1 | ||
| Portsmouth, Nh · principal | 0 | 0 | 3 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 716 to 733Jan 30, 2026 to Mar 16, 2026
- HNW clients · 144 to 149Jan 30, 2026 to Mar 16, 2026
- Individual clients · 17 to 20Jan 30, 2026 to Mar 16, 2026
- Assets in custody · $133M to $145MJan 30, 2026 to Mar 16, 2026
- Discretionary RAUM · $400M to $467MJan 30, 2026 to Mar 16, 2026
- HNW RAUM · $389M to $455MJan 30, 2026 to Mar 16, 2026
- Individual RAUM · $1.7M to $1.8MJan 30, 2026 to Mar 16, 2026
- RAUM · $400M to $467MJan 30, 2026 to Mar 16, 2026
- Accounts · 685 to 716Mar 23, 2024 to Mar 26, 2025
- HNW clients · 140 to 144Mar 23, 2024 to Mar 26, 2025
- Individual clients · 22 to 17Mar 23, 2024 to Mar 26, 2025
- Assets in custody · $107M to $133MMar 23, 2024 to Mar 26, 2025
- Financial planning clients · 101-250 to 101-250Mar 23, 2024 to Mar 26, 2025
- Discretionary RAUM · $353M to $400MMar 23, 2024 to Mar 26, 2025
- HNW RAUM · $344M to $389MMar 23, 2024 to Mar 26, 2025
- Individual RAUM · $2.3M to $1.7MMar 23, 2024 to Mar 26, 2025
- RAUM · $353M to $400MMar 23, 2024 to Mar 26, 2025
- Accounts · 642 to 685Mar 22, 2023 to Mar 23, 2024
- HNW clients · 130 to 140Mar 22, 2023 to Mar 23, 2024
- Individual clients · 27 to 22Mar 22, 2023 to Mar 23, 2024
- Assets in custody · $89.3M to $107MMar 22, 2023 to Mar 23, 2024
- Discretionary RAUM · $282M to $353MMar 22, 2023 to Mar 23, 2024
- HNW RAUM · $273M to $344MMar 22, 2023 to Mar 23, 2024
- Individual RAUM · $2.9M to $2.3MMar 22, 2023 to Mar 23, 2024
- RAUM · $282M to $353MMar 22, 2023 to Mar 23, 2024
- Accounts · 583 to 642Jan 27, 2023 to Mar 22, 2023
- HNW clients · 125 to 130Jan 27, 2023 to Mar 22, 2023
- Individual clients · 29 to 27Jan 27, 2023 to Mar 22, 2023
- Pension plan clients · 5.0 to unsetJan 27, 2023 to Mar 22, 2023
- Assets in custody · $91.0M to $89.3MJan 27, 2023 to Mar 22, 2023
- Discretionary RAUM · $300M to $282MJan 27, 2023 to Mar 22, 2023
- HNW RAUM · $293M to $273MJan 27, 2023 to Mar 22, 2023
- Individual RAUM · $3.3M to $2.9MJan 27, 2023 to Mar 22, 2023
- RAUM · $300M to $282MJan 27, 2023 to Mar 22, 2023
- Accounts · 530 to 583Mar 9, 2021 to Mar 2, 2022
- HNW clients · 114 to 125Mar 9, 2021 to Mar 2, 2022
- Individual clients · 33 to 29Mar 9, 2021 to Mar 2, 2022
- Pension plan clients · unset to 5.0Mar 9, 2021 to Mar 2, 2022
- Assets in custody · $17.6M to $91.0MMar 9, 2021 to Mar 2, 2022
- State-registered IARs · 3 to 4Mar 9, 2021 to Mar 2, 2022
Signals
8 dated events
- Seascape Capital Management,Llc no longer on the SEC adviser roster (last listed 2026-08-03, RAUM $466.9M)Sep 1, 2026 · Left the SEC roster · derived
- Christian Leigh Sullivan left Seascape Capital Management,Llc for F L Putnam Investment Management Co. (registered 2026-07-13)Aug 28, 2026 · Advisor changed firm · fact
- Laurie Barrett left Seascape Capital Management,Llc for F L Putnam Investment Management Co. (registered 2026-07-13)Aug 28, 2026 · Advisor changed firm · fact
- Monica Ann Mccarthy left Seascape Capital Management,Llc for F L Putnam Investment Management Co. (registered 2026-07-17)Aug 28, 2026 · Advisor changed firm · fact
- Andrew Mark Litzerman left Seascape Capital Management,Llc for F L Putnam Investment Management Co. (registered 2026-08-12)Aug 28, 2026 · Advisor changed firm · fact
- Seascape Capital Management,Llc's advisors moved to F L Putnam Investment Management CO. (Portsmouth, NH): 4 of 4 registered, on the same dayAug 28, 2026 · Firm absorbed (people side) · derived
- William Donald Nelson (Chief Compliance Officer) appeared on Schedule A of Seascape Capital Management,LlcMar 22, 2023 · Control person joined · fact
- Seascape Capital Management,Llc filed its initial SEC registration (Form ADV)Feb 26, 2014 · 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.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026