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••••••• I••••••••• M••••••••• L••
Latest filing Feb 13, 2026
First filing on the tape Mar 19, 2012 · 26 filings
SEC status approved since Mar 1, 2010
RAUM
$111M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
23%
$26.0M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$37.0M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$111M as of Feb 13, 2026
Mar 19, 2012$131M then
HNW client RAUM$15.4M as of Feb 13, 2026
Mar 27, 2018$41.2M then
State-registered IARs (5.B.3)3 as of Feb 13, 2026
Feb 21, 20137 then
Employees (5.A)3 as of Feb 13, 2026
Feb 21, 201311 then
Private funds1 as of Apr 3, 2014
Mar 19, 20121 then
RAUM +7.1% over the last fiscal year+3.3% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 13, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $37.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $1.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 65%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.8derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $17.1M, 13 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Insurance companies$39.1M35%
- Charitable organizations$33.3M30%
- High-net-worth individuals$15.4M14%
- Corporations and businesses$12.5M11%
- Individuals$10.6M9.5%
- Individual clients
- 15reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 70reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $17.1M for 13 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.23 fund_share=0.0 institutional_share=0.65 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• A•••• M••••Certified Financial Planner, Chartered Financial Analyst | Rapid City, Sd | Apr 8, 2011 | 30 y | 2 |
| R••••• R• L•••••• | Purchase, Ny | May 5, 2011 | 20 y | 0 |
| H••••• A••• S•••••• | Purchase, Ny | May 13, 2019 | 35 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••••• E••••••• M••••• D••• P•••••••• L•••no longer reported | Hedge Fund | $2.6M | 10 | Mar 19, 2012 |
Owners and control persons
Schedule A and B, latest filing
- L••••••• R•••••• R• · Managing Partner And Chief Compliance Officercontrolsince 06/2006 · owns less than 5%
- G••••• R•••••• K•••• · Partner Emerituscontrolsince 04/2008 · owns 25% to 50% of S••••••• M••••••••• L••
- L••••••• R•••••• R• · Managing Membercontrolsince 04/2008 · owns 25% to 50% of S••••••• M••••••••• L••
Entity owners
- S••••••• M••••••••• L•• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- S••••••• F•••••••• S•••••••• L••real estaten
- S••••••• W••••• M••••••••• L••investment advisernRAUM $1.5B
Advisers that list S••••••• I••••••••• M••••••••• L•• as a related person
- 147092 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Purchase, Ny · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Rapid City, SD2 employees
- Troy, MI1 employees
- , 1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Feb 13, 2026institutional share of RAUM of 65% against a peer median of 0% (5676 comparable advisers, 100.0th percentile, 21.9 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 100% percentile
- custody status changedChange between filings · filing Feb 13, 2026custody of client assets (Item 9.A): no on the filing of 2025-02-28, yes on the filing of 2026-02-13peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 74 to 70Feb 28, 2025 to Feb 13, 2026
- HNW clients · 7.0 to unsetFeb 28, 2025 to Feb 13, 2026
- Individual clients · 16 to 15Feb 28, 2025 to Feb 13, 2026
- Assets in custody · unset to 17118734.0Feb 28, 2025 to Feb 13, 2026
- Custody of client assets · false to trueFeb 28, 2025 to Feb 13, 2026
- Insurance-licensed employees · 0 to 2Feb 28, 2025 to Feb 13, 2026
- Discretionary RAUM · $104M to $111MFeb 28, 2025 to Feb 13, 2026
- HNW RAUM · $22.1M to $15.4MFeb 28, 2025 to Feb 13, 2026
- Individual RAUM · $7.3M to $10.6MFeb 28, 2025 to Feb 13, 2026
- RAUM · $104M to $111MFeb 28, 2025 to Feb 13, 2026
- Accounts · 91 to 74Jan 21, 2025 to Feb 28, 2025
- Advisory activities · 3 to 2Jan 21, 2025 to Feb 28, 2025
- BD registered reps · 1 to 2Jan 21, 2025 to Feb 28, 2025
- HNW clients · 6 to 7Jan 21, 2025 to Feb 28, 2025
- Individual clients · 21 to 16Jan 21, 2025 to Feb 28, 2025
- Employees · 4 to 3Jan 21, 2025 to Feb 28, 2025
- Financial planning clients · unset to Jan 21, 2025 to Feb 28, 2025
- Discretionary RAUM · $105M to $104MJan 21, 2025 to Feb 28, 2025
- HNW RAUM · $22.4M to $22.1MJan 21, 2025 to Feb 28, 2025
- Individual RAUM · $11.4M to $7.3MJan 21, 2025 to Feb 28, 2025
- Pension RAUM · 1177893.0 to unsetJan 21, 2025 to Feb 28, 2025
- RAUM · $105M to $104MJan 21, 2025 to Feb 28, 2025
- Accounts · 95 to 91Mar 8, 2023 to Mar 21, 2024
- Advisory activities · 2 to 3Mar 8, 2023 to Mar 21, 2024
- BD registered reps · 2 to 1Mar 8, 2023 to Mar 21, 2024
- Individual clients · 24 to 21Mar 8, 2023 to Mar 21, 2024
- Assets in custody · 48981809.0 to unsetMar 8, 2023 to Mar 21, 2024
- Custody of client assets · true to falseMar 8, 2023 to Mar 21, 2024
- Employees · 5 to 4Mar 8, 2023 to Mar 21, 2024
- Insurance-licensed employees · 2 to 0Mar 8, 2023 to Mar 21, 2024
- Financial planning clients · 0 to unsetMar 8, 2023 to Mar 21, 2024
- Discretionary RAUM · $101M to $105MMar 8, 2023 to Mar 21, 2024
- HNW RAUM · $24.9M to $22.4MMar 8, 2023 to Mar 21, 2024
- Individual RAUM · $11.3M to $11.4MMar 8, 2023 to Mar 21, 2024
- Pension RAUM · $4.4M to $1.2MMar 8, 2023 to Mar 21, 2024
- RAUM · $101M to $105MMar 8, 2023 to Mar 21, 2024
- Accounts · 113 to 95Apr 26, 2022 to Mar 8, 2023
- BD registered reps · 1 to 2Apr 26, 2022 to Mar 8, 2023
- Corporate clients · 23.0 to unsetApr 26, 2022 to Mar 8, 2023
- HNW clients · 10 to 6Apr 26, 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 phone
- 914-502-1905reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/seacrest-investment-management-llc/aboureportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 914-502-1905reportedpublic record, Form ADV, Feb 13, 2026
- Team page
- seacrestim.com/managementreportedpublished 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $37.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026