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SEC-registered adviser

S•••• W••••• P•••••••

Independent wealth managerGilbert, ArizonaCRD 166808SEC 801-120609websiteIAPD
Legal name S•••• F••••••••• L••
Latest filing Sep 2, 2026
First filing on the tape Feb 23, 2021 · 24 filings
SEC status approved since Mar 25, 2021
RAUM
$359M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$341M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$44.9M
derived; firm RAUM over IAPD count
Employees
10
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$359M as of Jun 5, 2026
Feb 11, 2022$167M then
HNW client RAUM$218M as of Jun 5, 2026
Feb 11, 2022$65.4M then
State-registered IARs (5.B.3)7 as of Jun 5, 2026
Feb 11, 20227 then
Employees (5.A)10 as of Jun 5, 2026
Feb 11, 20227 then
Private funds: no history
RAUM +19% over the last fiscal year+24% a year over threeIARs 4 to 7offices 0 to 1
Practice profile
derived from the filing of Sep 2, 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
  • 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
RAUM per advisor
$44.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
55derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.8MderivedHNW RAUM over HNW clients
Average account
$342,405derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
4.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
4.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+19%derivedbetween the last two annual amendments
Advisor growth, one year
+75%derivedItem 5.B.3 between annual amendments
Client growth, one year
-16%derived
Compensation
percentage of assets, hourly, fixed fees, subscription, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
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
  • is an insurance broker or agent (6.A.6)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$218M61%
  • Individuals$123M34%
  • Pension and profit-sharing plans$15.3M4.3%
  • Corporations and businesses$2.0M0.6%
  • Charitable organizations$709,2330.2%
Individual clients
320reported
HNW clients
121reported
Pension plan clients
8reported
Charitable clients
2reported
Accounts
1,049reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, performancereported
Class basis
private_client_share=0.95 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
J•••••• P••••••• W••••••Gilbert, AzMar 11, 201336 y2
J••••• W•••••• S••••Gilbert, AzMar 11, 201319 y3
J••• E• B•••••Gilbert, AzMar 11, 201315 y1
S••••• N••••• B••••••Gilbert, AzFeb 26, 201427 y1
A••••• V••••••• M••••••Gilbert, AzNov 3, 202110 y0
W•••••• M• H••••••••Gilbert, AzFeb 13, 202610 y1
K•••••• A••••••••• M•••••Gilbert, AzFeb 17, 202612 y1
J••••• D••••• M•••••Gilbert, Az Aug 13, 202613 y4
Advisor movement
0 left, 3 joined in 12 months
net +3 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount2 left over 36 months
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • S••••• J•••••• W•••••• · Managing Membercontrol
      since 02/2013 · owns 75% or more
    • B••••••• S•••••• N••••• · Chief Compliance Officer
      since 02/2013 · owns less than 5%
    Related persons
    Schedule D 7.A
    • S•••• F••••••••• L••
      real estaten
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Gilbert, Az · principal830
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Financial planning clients · 1-10 to 1-10
      Jun 5, 2026 to Sep 2, 2026
    • Other offices · 0 to 1
      Jun 5, 2026 to Sep 2, 2026
    • Succession · false to unset
      Jun 5, 2026 to Sep 2, 2026
    • Advisory activities · 3 to 4
      Apr 29, 2026 to Jun 5, 2026
    • Pooled vehicle clients · 0 to 1
      Apr 29, 2026 to Jun 5, 2026
    • Business name · S•••• F••••••••• L•• to S•••• W••••• P•••••••
      Mar 24, 2026 to Apr 29, 2026
    • Accounts · 990 to 1,049
      Nov 11, 2025 to Mar 24, 2026
    • Advisory employees · 3 to 7
      Nov 11, 2025 to Mar 24, 2026
    • BD registered reps · 3 to 0
      Nov 11, 2025 to Mar 24, 2026
    • Charity clients · 1 to 2
      Nov 11, 2025 to Mar 24, 2026
    • Corporate clients · 3 to 5
      Nov 11, 2025 to Mar 24, 2026
    • HNW clients · 152 to 121
      Nov 11, 2025 to Mar 24, 2026
    • Individual clients · 374 to 320
      Nov 11, 2025 to Mar 24, 2026
    • Pension plan clients · 4 to 8
      Nov 11, 2025 to Mar 24, 2026
    • Employees · 3 to 10
      Nov 11, 2025 to Mar 24, 2026
    • Insurance-licensed employees · 3 to 0
      Nov 11, 2025 to Mar 24, 2026
    • Financial planning clients · 51-100 to 1-10
      Nov 11, 2025 to Mar 24, 2026
    • HQ city · TEMPE to GILBERT
      Nov 11, 2025 to Mar 24, 2026
    • State-registered IARs · 3 to 7
      Nov 11, 2025 to Mar 24, 2026
    • Discretionary RAUM · $286M to $359M
      Nov 11, 2025 to Mar 24, 2026
    • HNW RAUM · $173M to $218M
      Nov 11, 2025 to Mar 24, 2026
    • Individual RAUM · $108M to $123M
      Nov 11, 2025 to Mar 24, 2026
    • Non-discretionary RAUM · $15.4M to $0
      Nov 11, 2025 to Mar 24, 2026
    • Pension RAUM · $15.6M to $15.3M
      Nov 11, 2025 to Mar 24, 2026
    • RAUM · $301M to $359M
      Nov 11, 2025 to Mar 24, 2026
    • Advisory activities · 4 to 3
      May 12, 2025 to Jul 9, 2025
    • Financial planning clients · 51-100 to 51-100
      May 12, 2025 to Jul 9, 2025
    • Related adviser · true to false
      May 12, 2025 to Jul 9, 2025
    • Advisory employees · 4 to 3
      Apr 16, 2025 to May 12, 2025
    • BD registered reps · 4 to 3
      Apr 16, 2025 to May 12, 2025
    • Employees · 4 to 3
      Apr 16, 2025 to May 12, 2025
    • Insurance-licensed employees · 4 to 3
      Apr 16, 2025 to May 12, 2025
    • State-registered IARs · 4 to 3
      Apr 16, 2025 to May 12, 2025
    • Accounts · 890 to 990
      Nov 25, 2024 to Apr 16, 2025
    • HNW clients · 67 to 152
      Nov 25, 2024 to Apr 16, 2025
    • Individual clients · 325 to 374
      Nov 25, 2024 to Apr 16, 2025
    • Discretionary RAUM · $246M to $286M
      Nov 25, 2024 to Apr 16, 2025
    • HNW RAUM · $138M to $173M
      Nov 25, 2024 to Apr 16, 2025
    • Individual RAUM · $105M to $108M
      Nov 25, 2024 to Apr 16, 2025
    • Non-discretionary RAUM · $15.2M to $15.4M
      Nov 25, 2024 to Apr 16, 2025
    Signals
    4 dated events
    • 2 advisors left S••••••••• I••••••••• A•••••• (Gilbert, AZ) for S•••• W••••• P••••••• within 5 days
      Feb 4, 2026 · Team lift-out · derived
    • L•••••• C••• V•• D•• F•••• left S•••• W••••• P••••••• for C••••• I••••••••• A••••••• L•• (registered 2024-11-13)
      Nov 25, 2024 · a•••••• firm change · fact
    • C••••• M• B•••• left S•••• W••••• P••••••• for G• W••••• M••••••••• (registered 2024-05-03)
      Mar 12, 2024 · a•••••• firm change · fact
    • S•••• F••••••••• L•• filed its initial SEC registration (Form ADV)
      Feb 23, 2021 · ria f•••• adv filing · 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
    Business email
    team@seroswealth.comreportedpublished by the firm, firm site, Sep 15, 2026
    Business phone
    480-967-1155reportedpublished by the firm, firm site, Sep 15, 2026
    Business phone
    888-745-2819reportedpublished by the firm, firm site, Sep 15, 2026
    Business phone
    480-967-1152reportedpublished by the firm, firm site, Sep 15, 2026
    Firm profile
    LINKEDIN.COM/COMPANY/S••••-FINANCIAL-LLCreportedpublic record, Form ADV, Sep 21, 2026
    Website
    S••••WEALTH.COMreportedpublic record, Form ADV, Sep 21, 2026
    Principal office phone
    480-967-1155reportedpublic record, Form ADV, Sep 2, 2026
    Contact form
    seroswealth.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
    Team page
    seroswealth.com/teamreportedpublished by the firm, firm site, Sep 15, 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
    $44.9Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026