{"url":"https://nivawealth.com/firms/seaborn-financial-159073","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/159073","regulatoryAum":151302065,"crd":"159073","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5989536","suffix":null,"lastName":"GREGORY","firstName":"PORTER","middleName":"BRITTON"},{"crd":"6956088","suffix":null,"lastName":"Parker","firstName":"Nicholas","middleName":"Edward"},{"crd":"5701197","suffix":null,"lastName":"YEUNG","firstName":"BENJAMIN","middleName":"ZAI MIN"}],"total":3,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2025-04-29","regulatoryAum":117262767,"clients":71,"employees":3,"offices":1},{"filedOn":"2026-09-28","regulatoryAum":151302065,"clients":76,"employees":4,"offices":1}],"secFileNumber":"801-131434","legalName":"Seaborn Financial, LLC","displayName":"Seaborn Financial","slug":"seaborn-financial-159073","website":"https://seabornfinancial.co/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Texas limited liability company","fiscalYearEnd":"December","headquarters":{"street":"","city":"","state":"","stateName":"","country":"","postalCode":null},"tradeNames":[],"registration":{"secApproved":"12 November 2024","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1990816.644736842,"staff":{"employees":4,"advisory":3,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":151302065,"discretionary":151302065,"discretionaryAccounts":507,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":42},"clientTypes":[{"label":"Individuals (other than HNW)","clients":27,"regulatoryAum":14380748},{"label":"High-net-worth individuals","clients":49,"regulatoryAum":136921317}],"feePrograms":[{"role":"main","program":"Investment Management and Pension Consulting Services","feeBasis":"marginal","fee_tiers":[{"to":1000000,"pct":0.6,"from":0},{"to":null,"pct":0.4,"from":1000000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1059318","versionId":1059318,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-09-28","documentName":"ADV PART 2A 2B","fee_rate_low":0.4,"fee_rate_high":0.6,"fee_negotiable":true,"minimum_account":150000,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial Planning Hourly","summary":"$275 per hour, billed in 15-minute increments and due monthly in arrears; negotiable in certain cases.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1059318","versionId":1059318,"submittedOn":"2026-09-28","documentName":"ADV PART 2A 2B"},{"role":"other","program":"Initial Comprehensive Financial Plan","summary":"$1,900 for individuals or $2,250 for families, at engagement and again at initial plan delivery; negotiable in certain cases.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1059318","versionId":1059318,"submittedOn":"2026-09-28","documentName":"ADV PART 2A 2B"},{"role":"other","program":"Initial Retirement-Only Plan","summary":"$1,150 for individuals or $1,550 for families, at engagement and again at plan delivery; negotiable in certain cases.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1059318","versionId":1059318,"submittedOn":"2026-09-28","documentName":"ADV PART 2A 2B"},{"role":"other","program":"Office Hours","summary":"$620, due at engagement, for one 90-minute meeting and seven days of e-mail follow-up; negotiable.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1059318","versionId":1059318,"submittedOn":"2026-09-28","documentName":"ADV PART 2A 2B"},{"role":"other","program":"Ongoing Comprehensive Financial Planning","summary":"$270 a month for clients who also engage in investment management.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1059318","versionId":1059318,"submittedOn":"2026-09-28","documentName":"ADV PART 2A 2B"},{"role":"other","program":"Ongoing Retirement-Only Planning","summary":"$195 a month for clients who also engage in investment management.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1059318","versionId":1059318,"submittedOn":"2026-09-28","documentName":"ADV PART 2A 2B"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T14:24:07.875756+00:00","documents":[{"name":"ADV PART 2A 2B","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1059318","versionId":1059318,"submittedOn":"2026-09-28"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":120861286}],"custodyNote":"Seaborn Financial has custody of $93.1M in client assets for 65 clients.","otherCustodians":[],"leadership":[{"name":"Porter Gregory","title":"Principal/CCO","crd":"5989536"}],"ownership":[{"label":"Porter Gregory","detail":"Principal/cco in the 75% or more ownership band and a control person, since January 2011."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"512-814-7258","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"101-250","assetMix":[{"label":"Exchange-traded equity securities","percent":5},{"label":"Securities issued by registered investment companies or business development companies","percent":95}],"privateFunds":0},"sources":{"adv1FilingDate":"28 September 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/159073/PDF/159073.pdf","brochureDate":"28 September 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1059318","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Seaborn Financial have?","answer":"Seaborn Financial has 76 clients and manages $151 million for them, as of September 2026. They include 49 high-net-worth individuals and 27 individual clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 28 September 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Seaborn Financial offer?","answer":"Seaborn Financial provides financial planning and portfolio management for individuals and small businesses.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Seaborn Financial charge?","answer":"Seaborn Financial charges 0.40%–0.60% a year for its Investment Management and Pension Consulting Services. Each asset band is charged at its own rate. The fee is billed in arrears, is negotiable and requires an account of at least $150,000.","source":"ADV PART 2A 2B, filed 28 September 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Seaborn Financial use?","answer":"Seaborn Financial’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $121M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 28 September 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Seaborn Financial have?","answer":"Seaborn Financial has 3 investment adviser representatives registered with state securities authorities, out of 4 employees, and 3 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Seaborn Financial invest in?","answer":"At the end of its last fiscal year, Seaborn Financial’s separately managed accounts held 95% registered funds (mutual funds, ETFs, BDCs) and 5% exchange-traded equities.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Does Seaborn Financial have a minimum investment?","answer":"Yes, Seaborn Financial’s minimum account size for its Investment Management and Pension Consulting Services is $150K.","source":"ADV PART 2A 2B, filed 28 September 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Seaborn Financial?","answer":"Seaborn Financial’s direct owner is Porter Gregory (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 28 September 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Seaborn Financial get paid?","answer":"Seaborn Financial is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Seaborn Financial?","answer":"Its phone number is 512-814-7258. Its website is seabornfinancial.co.","source":"Form ADV Part 1A, Item 1.F, filed 28 September 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}