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
Seraphim Capital Management, LLC
Latest filing Feb 10, 2026
First filing on the tape Mar 23, 2021 · 11 filings
SEC status approved since Apr 23, 2021
RAUM
$63.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$63.0M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$63.0M
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
11 filings and snapshots on the tape
RAUM$63.0M as of Feb 10, 2026
Mar 10, 2022$54.0M then
HNW client RAUM$34.0M as of Feb 10, 2026
Mar 10, 2022$8.0M then
State-registered IARs (5.B.3)3 as of Feb 10, 2026
Mar 10, 20223 then
Employees (5.A)3 as of Feb 10, 2026
Mar 10, 20223 then
Private funds: no history
RAUM +19% over the last fiscal year+10% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $63.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 180derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.3MderivedHNW RAUM over HNW clients
- Average account
- $350,000derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 0.3derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.6%derived
- Compensation
- percentage of assets, hourly, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$34.0M54%
- Individuals$29.0M46%
- Individual clients
- 172reported
- HNW clients
- 8reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 180reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourly, performancereported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| John Patrick Morris | Boulder, Co | Jul 31, 2021 | 45 y | 1 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 100% of current headcount1 left over 36 months
Left, latest
- Daniel John Petrie to LPL Financial LLCFeb 5, 2026 · RIA to RIA
Joined, latest
- Daniel John Petrie from Wells Fargo AdvisorsDec 28, 2015 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Patrick John Morris · Managing Member, Chief Compliance Officersince 03/2014 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Blauvelt, Ny | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Pennsburg, PA2 employees
- Morristown, NJ1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 179 to 180Mar 31, 2025 to Feb 10, 2026
- Individual clients · 171 to 172Mar 31, 2025 to Feb 10, 2026
- Discretionary RAUM · $53.0M to $63.0MMar 31, 2025 to Feb 10, 2026
- HNW RAUM · $23.0M to $34.0MMar 31, 2025 to Feb 10, 2026
- Individual RAUM · $30.0M to $29.0MMar 31, 2025 to Feb 10, 2026
- RAUM · $53.0M to $63.0MMar 31, 2025 to Feb 10, 2026
- Accounts · 168 to 179Aug 28, 2024 to Mar 31, 2025
- BD registered reps · 1 to 0Aug 28, 2024 to Mar 31, 2025
- Individual clients · 160 to 171Aug 28, 2024 to Mar 31, 2025
- Financial planning clients · unset to Aug 28, 2024 to Mar 31, 2025
- HQ city · unset to Aug 28, 2024 to Mar 31, 2025
- HQ state · unset to Aug 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $48.8M to $53.0MAug 28, 2024 to Mar 31, 2025
- HNW RAUM · $22.6M to $23.0MAug 28, 2024 to Mar 31, 2025
- Individual RAUM · $26.3M to $30.0MAug 28, 2024 to Mar 31, 2025
- RAUM · $48.8M to $53.0MAug 28, 2024 to Mar 31, 2025
- HQ city · NEW YORK to unsetMar 26, 2024 to Aug 28, 2024
- HQ state · NY to unsetMar 26, 2024 to Aug 28, 2024
- Accounts · 265 to 168Mar 21, 2023 to Mar 26, 2024
- HNW clients · 6 to 8Mar 21, 2023 to Mar 26, 2024
- Individual clients · 259 to 160Mar 21, 2023 to Mar 26, 2024
- Discretionary RAUM · $46.9M to $48.8MMar 21, 2023 to Mar 26, 2024
- HNW RAUM · $9.7M to $22.6MMar 21, 2023 to Mar 26, 2024
- Individual RAUM · $37.2M to $26.3MMar 21, 2023 to Mar 26, 2024
- RAUM · $46.9M to $48.8MMar 21, 2023 to Mar 26, 2024
- Accounts · 168 to 265Sep 20, 2022 to Mar 21, 2023
- HNW clients · 20 to 6Sep 20, 2022 to Mar 21, 2023
- Individual clients · 148 to 259Sep 20, 2022 to Mar 21, 2023
- Other offices · 2 to 3Sep 20, 2022 to Mar 21, 2023
- Discretionary RAUM · $54.0M to $46.9MSep 20, 2022 to Mar 21, 2023
- HNW RAUM · $8.0M to $9.7MSep 20, 2022 to Mar 21, 2023
- Individual RAUM · $46.0M to $37.2MSep 20, 2022 to Mar 21, 2023
- RAUM · $54.0M to $46.9MSep 20, 2022 to Mar 21, 2023
- Accounts · 200 to 168Oct 6, 2021 to Mar 10, 2022
- HNW clients · 15 to 20Oct 6, 2021 to Mar 10, 2022
- Individual clients · 155 to 148Oct 6, 2021 to Mar 10, 2022
- Discretionary RAUM · $51.5M to $54.0MOct 6, 2021 to Mar 10, 2022
- HNW RAUM · $16.4M to $8.0MOct 6, 2021 to Mar 10, 2022
- Individual RAUM · $35.0M to $46.0MOct 6, 2021 to Mar 10, 2022
- RAUM · $51.5M to $54.0MOct 6, 2021 to Mar 10, 2022
Signals
2 dated events
- Daniel John Petrie left Seraphim Capital Management, Llc for Lpl Financial Llc (registered 2023-01-06)Feb 5, 2026 · Advisor changed firm · fact
- Seraphim Capital Management, Llc filed its initial SEC registration (Form ADV)Mar 23, 2021 · 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
- Business email
- dpetrie@seraphimcapitalmanagement.comreportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/seraphim-capital-management1reportedpublic record, Form ADV, Sep 17, 2026
- Website
- SERAPHIMCAPITALMANAGEMENT.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 720-406-7790reportedpublic record, Form ADV, Feb 10, 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
- $63.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026