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

Seacrest Wealth Management, LLC

Independent wealth managerPurchase, New YorkCRD 147092SEC 801-69141websiteIAPD
Latest filing Aug 10, 2026
First filing on the tape Mar 28, 2012 · 62 filings
SEC status approved since May 12, 2008
RAUM
$1.5B
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
98%
$1.5B individuals and HNW
Advisors
35
registered through the firm on IAPD
RAUM per advisor
$43.8M
derived; firm RAUM over IAPD count
Employees
47
36 advisory (5.B.1)
Offices
22
beyond the principal office
Private funds
0
reported on Schedule D
History
62 filings and snapshots on the tape
RAUM$1.5B as of Aug 10, 2026
Mar 28, 2012$210M then
HNW client RAUM$1.2B as of Aug 10, 2026
Mar 30, 2018$179M then
State-registered IARs (5.B.3)36 as of Aug 10, 2026
Apr 1, 201331 then
Employees (5.A)47 as of Aug 10, 2026
Apr 1, 201337 then
Private funds: 1
RAUM -1.8% over the last fiscal year+11% a year over threeIARs 42 to 36offices 27 to 22
Practice profile
derived from the filing of Aug 10, 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
$43.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
42derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.2MderivedHNW RAUM over HNW clients
Average account
$448,775derivedRAUM over accounts (5.F.2.f)
Discretionary
94%derivedof RAUM
Institutional
0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
1.5derived23 offices incl. principal (1.F.5)
RAUM growth, one year
-1.8%derivedbetween the last two annual amendments
Advisor growth, one year
-14%derivedItem 5.B.3 between annual amendments
Client growth, one year
-13%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, selection of other advisersreportedItem 5.G
Custody
$392M, 631 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$1.2B78%
  • Individuals$300M20%
  • Corporations and businesses$20.2M1.3%
  • Charitable organizations$6.9M0.5%
  • Pension and profit-sharing plans$3.0M0.2%
Individual clients
1,102reported
HNW clients
373reported
Pension plan clients
5reported
Charitable clients
9reported
Accounts
3,417reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$392M for 631 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=9.0derived
Advisors registered through the firm
32 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Mark Dennis FadlingMedford, Or May 12, 201134 y3
Benjamin Stuart BrainardMedford, Or May 12, 201125 y2
Robert Raymond SaylerPurchase, Ny May 23, 201130 y2
Heather Ann HasteyNewport Beach, Ca Jan 10, 201316 y1
Charles Murray DwightChartered Financial AnalystKennebunk, Me Mar 4, 201313 y0
Erik MetvinerPurchase, NyJul 8, 201313 y0
Tony SaemaiPurchase, NyNov 5, 201320 y2
Robert Lee ClarkCumberland Foreside, Me Nov 4, 201536 y0
Lee Allen NystedLake Bluff, Il Jan 4, 201645 y2
Kenneth MetvinerKissimmee, Fl Apr 19, 201642 y2
Susan BockPurchase, NyFeb 15, 201746 y1
Daniel Craig MoskowScottsdale, Az Apr 4, 201834 y3
Joanne Liakos HackenburgPurchase, Ny May 10, 201840 y0
Raymond Anthony PruzinskyPurchase, NySep 26, 201838 y2
Stephen T TuRolling Hills Estates, Ca Jul 2, 201917 y2
Francis Cooper LawranceDarien, Ct Sep 20, 201942 y3
Edward Malachy SullivanPurchase, NyDec 23, 201945 y0
Michael Patrick DowdPurchase, NyDec 26, 201942 y2
Carlos Gabriel MejiaBrooklyn, Ny Sep 3, 202120 y2
Wayne Ray WongCertified Financial PlannerPurchase, Ny May 27, 202227 y2
Jason Lee SealeNovato, Ca Dec 15, 202235 y2
James Douglas DickeyCertified Financial PlannerParrottsville, Tn Apr 10, 202326 y2
Juliana Surcalo EvansFreeport, Fl Nov 7, 202311 y0
Jacqueline PruePurchase, NyFeb 7, 202443 y3
Claudia RivasPurchase, Ny Mar 5, 202420 y5
Orlando RosarioPurchase, Ny Apr 15, 202425 y4
Jeanne Louise McveighMedford, OrJun 7, 202429 y0
Ruben CisnerosCertified Financial PlannerLong Beach, Ca Jan 1, 202526 y3
Jason Ferris JeungPurchase, Ny Jan 1, 202530 y4
Dean B LivingstonGreenville, Sc Nov 26, 202539 y3
Carter Michael HowellPurchase, Ny Apr 7, 202613 y0
James Edward YarbroughPurchase, Ny Jun 24, 202621 y6
Advisor movement
6 left, 2 joined in 12 months
net -4 in 12 months4 left in 90 days1 joined in 90 daysdeparture rate 17% of current headcount11 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    Seacrest Emerging Market Debt Partners, L.P.no longer reportedHedge Fund$2.5M14Mar 28, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • R Ronald Lenihan · Managing Member And Chief Compliance Officercontrol
      since 07/2009 · owns less than 5%
    • Malachy Edward Sullivan · President, Managing Membercontrol
      since 04/2008 · owns 50% to 75%
    • Kumar Rajesh Gupta · Partner Emerituscontrol
      since 04/2008 · owns 25% to 50% of Seacrest Management, LLC
    • R Ronald Lenihan · Managing Member And Chief Compliance Officercontrol
      since 04/2008 · owns 25% to 50% of Seacrest Management, LLC
    Entity owners
    • Seacrest Management, LLC · Member
      direct · owns 50% to 75%
    Related persons
    Schedule D 7.A
    Advisers that list Seacrest Wealth Management, LLC as a related person
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Purchase, Ny · principal34431
    San Francisco, Ca300
    Rapid City, Sd310
    Medford, Or300
    Greenville, Sc220
    Naperville, Il001
    Louisville, Ky000
    Kansas City, Mo0021
    Offices
    Schedule D 1.F, the 25 largest
    • Medford, OR6 employees
    • Louisville, KY3 employees
    • Rapid City, SD2 employees
    • San Francisco, CA2 employees
    • Chatham, NJ2 employees
    • Kansas City, MO2 employees
    • Novato, CA1 employees
    • Orinda, CA1 employees
    • Rolling Hills Estate, CA1 employees
    • Scottsdale, AZ1 employees
    • Troy, MI1 employees
    • Brooklyn, NY1 employees
    • , 1 employees
    • Charleston, NC1 employees
    • Greenville, SC1 employees
    • Kansas City, MO1 employees
    • Long Beach, CA1 employees
    • Naperville, IL1 employees
    ADV anomalies
    1 against comparable advisers; where to look, not conclusions
    • control person changedChange between filings · filing Aug 10, 2026
      GUPTA, RAJESH, KUMAR (PARTNER EMERITUS) left Schedule A between the filings of 2012-03-28 and 2026-08-10
      peers: independent wealth managers, $1B to $5B (1,360)
    How anomalies are measured
    What changed
    consecutive filings, newest first
    • Other offices · 21 to 22
      Jul 15, 2026 to Aug 10, 2026
    • Accounts · 3,945 to 3,417
      Oct 23, 2025 to Mar 17, 2026
    • Advisory employees · 42 to 36
      Oct 23, 2025 to Mar 17, 2026
    • BD registered reps · 16 to 9
      Oct 23, 2025 to Mar 17, 2026
    • Corporate clients · 11 to 9
      Oct 23, 2025 to Mar 17, 2026
    • HNW clients · 382 to 373
      Oct 23, 2025 to Mar 17, 2026
    • Individual clients · 1,318 to 1,102
      Oct 23, 2025 to Mar 17, 2026
    • Pension plan clients · unset to 5.0
      Oct 23, 2025 to Mar 17, 2026
    • Assets in custody · $70.1M to $392M
      Oct 23, 2025 to Mar 17, 2026
    • Employees · 51 to 47
      Oct 23, 2025 to Mar 17, 2026
    • Insurance-licensed employees · 3 to 2
      Oct 23, 2025 to Mar 17, 2026
    • State-registered IARs · 42 to 36
      Oct 23, 2025 to Mar 17, 2026
    • Other offices · 27 to 21
      Oct 23, 2025 to Mar 17, 2026
    • Discretionary RAUM · $1.5B to $1.4B
      Oct 23, 2025 to Mar 17, 2026
    • HNW RAUM · $1.2B to $1.2B
      Oct 23, 2025 to Mar 17, 2026
    • Individual RAUM · $360M to $300M
      Oct 23, 2025 to Mar 17, 2026
    • Non-discretionary RAUM · $97.2M to $84.6M
      Oct 23, 2025 to Mar 17, 2026
    • Pension RAUM · $3.4M to $3.0M
      Oct 23, 2025 to Mar 17, 2026
    • RAUM · $1.6B to $1.5B
      Oct 23, 2025 to Mar 17, 2026
    • Accounts · 3,836 to 3,945
      Jan 21, 2025 to Feb 7, 2025
    • Advisory employees · 38 to 42
      Jan 21, 2025 to Feb 7, 2025
    • BD registered reps · 15 to 16
      Jan 21, 2025 to Feb 7, 2025
    • Charity clients · 10 to 9
      Jan 21, 2025 to Feb 7, 2025
    • HNW clients · 330 to 382
      Jan 21, 2025 to Feb 7, 2025
    • Individual clients · 1,333 to 1,318
      Jan 21, 2025 to Feb 7, 2025
    • Assets in custody · $324M to $70.1M
      Jan 21, 2025 to Feb 7, 2025
    • Insurance-licensed employees · 2 to 3
      Jan 21, 2025 to Feb 7, 2025
    • Financial planning clients · 26-50 to 51-100
      Jan 21, 2025 to Feb 7, 2025
    • State-registered IARs · 38 to 42
      Jan 21, 2025 to Feb 7, 2025
    • Other offices · 26 to 27
      Jan 21, 2025 to Feb 7, 2025
    • Discretionary RAUM · $1.2B to $1.5B
      Jan 21, 2025 to Feb 7, 2025
    • HNW RAUM · $940M to $1.2B
      Jan 21, 2025 to Feb 7, 2025
    • Individual RAUM · $325M to $360M
      Jan 21, 2025 to Feb 7, 2025
    • Non-discretionary RAUM · $80.7M to $97.2M
      Jan 21, 2025 to Feb 7, 2025
    • Pension RAUM · $4.0M to $3.4M
      Jan 21, 2025 to Feb 7, 2025
    • RAUM · $1.3B to $1.6B
      Jan 21, 2025 to Feb 7, 2025
    • Accounts · 4,125 to 3,836
      Dec 4, 2023 to Mar 27, 2024
    • Advisory employees · 43 to 38
      Dec 4, 2023 to Mar 27, 2024
    • BD registered reps · 13 to 15
      Dec 4, 2023 to Mar 27, 2024
    • Charity clients · 12 to 10
      Dec 4, 2023 to Mar 27, 2024
    Signals
    19 dated events
    • Christopher C Nelson left Seacrest Wealth Management, Llc for Private Wealth Consulting, Llc (registered 2026-03-23)
      Jul 23, 2026 · Advisor changed firm · fact
    • Harrison Michael Hubbs left Seacrest Wealth Management, Llc for Private Wealth Consulting, Llc (registered 2026-03-20)
      Jul 23, 2026 · Advisor changed firm · fact
    • Donald Wayne Hubbs left Seacrest Wealth Management, Llc for Private Wealth Consulting, Llc (registered 2026-03-23)
      Jul 23, 2026 · Advisor changed firm · fact
    • Amy Lynne Mclandress left Seacrest Wealth Management, Llc for Private Wealth Consulting, Llc (registered 2026-03-20)
      Jul 23, 2026 · Advisor changed firm · fact
    • 2 advisors left Seacrest Wealth Management, LLC (Kansas City, MO) for Private Wealth Consulting, LLC on the same day
      Jul 23, 2026 · Team lift-out · derived
    • 2 advisors left Seacrest Wealth Management, LLC (Purchase, NY) for Private Wealth Consulting, LLC on the same day
      Jul 23, 2026 · Team lift-out · derived
    • Seacrest Wealth Management, Llc reported 21 offices beyond its principal office, down from 27 (2025-10-23 to 2026-03-17)
      Mar 17, 2026 · Office count change · derived
    • John Leslie Stanton left Seacrest Wealth Management, Llc for Stanton Group Wealth Partners, Inc. (registered 2025-12-12)
      Jan 14, 2026 · Advisor changed firm · fact
    • Michael Joseph Annunziata left Seacrest Wealth Management, Llc for Innovative Asset Advisors Group (registered 2025-10-01)
      Sep 30, 2025 · Advisor changed firm · fact
    • Richard Hay Madden left Seacrest Wealth Management, Llc for Silver Oak Securities, Inc. (registered 2025-06-26)
      Jun 30, 2025 · Advisor changed firm · fact
    • Nicholas Anthony Pfeiffer left Seacrest Wealth Management, Llc for Silver Oak Securities, Inc. (registered 2025-06-30)
      Jun 30, 2025 · Advisor changed firm · fact
    • James Douglas Anderson left Seacrest Wealth Management, Llc for Silver Oak Securities, Inc. (registered 2025-07-01)
      Jun 30, 2025 · Advisor changed firm · fact
    • 2 advisors left Seacrest Wealth Management, LLC (Purchase, NY) for Silver Oak Securities, Inc. on the same day
      Jun 30, 2025 · Team lift-out · derived
    • Brenda Stein left Seacrest Wealth Management, Llc for Next Financial Group, Inc. (registered 2023-09-29)
      Sep 29, 2023 · Advisor changed firm · fact
    • Timothy Adam Perkins left Seacrest Wealth Management, Llc for Integrity Wealth Management (registered 2025-02-28)
      Sep 29, 2023 · Advisor changed firm · fact
    • Seacrest Wealth Management, Llc reported RAUM $1.2B, up 36% from $905.2M (2020-12-21 to 2021-03-31)
      Mar 31, 2021 · RAUM change · derived
    • Seacrest Wealth Management, Llc reported RAUM $905.2M, up 30% from $696.1M (2019-11-19 to 2020-03-27)
      Mar 27, 2020 · RAUM change · derived
    • Seacrest Wealth Management, Llc reported 24 offices beyond its principal office, up from 19 (2018-10-24 to 2019-03-28)
      Mar 28, 2019 · Office count change · derived
    • Seacrest Wealth Management, Llc reported 39 state-registered advisory representatives, up from 20 (2017-04-05 to 2018-03-30)
      Mar 30, 2018 · Advisor headcount change · derived
    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
    914-309-3129reportedpublished by the firm, firm site, Sep 17, 2026
    Firm profile
    linkedin.com/company/seacrest-wealth-management/aboutreportedpublic record, Form ADV, Sep 17, 2026
    Website
    joanneliakos.comreportedpublic record, Form ADV, Sep 17, 2026
    Principal office phone
    914-502-1900reportedpublic record, Form ADV, Aug 10, 2026
    Contact form
    joanneliakos.com/contactreportedpublished by the firm, firm site, Sep 17, 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
    $43.8Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026