{"url":"https://nivawealth.com/firms/seal-cove-capital-332033","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/332033","regulatoryAum":134858476,"crd":"332033","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"7945523","suffix":null,"lastName":"Lee","firstName":"Kevin","middleName":"K"}],"total":1,"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":"2024-06-27","regulatoryAum":0,"clients":0,"employees":1,"offices":1},{"filedOn":"2025-03-24","regulatoryAum":119678207,"clients":3,"employees":1,"offices":1},{"filedOn":"2026-03-11","regulatoryAum":134858476,"clients":3,"employees":1,"offices":1}],"secFileNumber":"801-130794","legalName":"Seal Cove Capital LLC","displayName":"Seal Cove Capital","slug":"seal-cove-capital-332033","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"California limited liability company","fiscalYearEnd":"December","headquarters":{"street":"","city":"","state":"","stateName":"","country":"","postalCode":null},"tradeNames":[],"registration":{"secApproved":"29 July 2024","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":null,"staff":{"employees":1,"advisory":1,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":134858476,"discretionary":134858476,"discretionaryAccounts":26,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":1,"fewerThan5":true,"regulatoryAum":854453},{"label":"High-net-worth individuals","clients":2,"fewerThan5":true,"regulatoryAum":134004023}],"feePrograms":[{"role":"main","program":"Investment management fees","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1017441","versionId":1017441,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-03-11","documentName":"SEAL COVE ADV PART 2","fee_rate_low":1,"fee_rate_high":1,"fee_negotiable":true,"minimum_account":1000000,"feeMinimumPeriod":null,"fee_minimum_annual":null}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T17:47:33.010422+00:00","documents":[{"name":"SEAL COVE ADV PART 2","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1017441","versionId":1017441,"submittedOn":"2026-03-11"}]},"custodians":[{"name":"National Financial Services LLC","shortName":"Fidelity","location":"Chicago, IL","smaAssets":134409568}],"custodyNote":"Seal Cove Capital does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Kevin Lee","title":"Managing Partner / CCO","crd":"7945523"}],"ownership":[{"label":"Kevin Lee","detail":"Managing partner / cco in the 75% or more ownership band and a control person, since May 2024."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"415-306-2583","stateRegisteredReps":1,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":79},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":21}],"privateFunds":0},"sources":{"adv1FilingDate":"11 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/332033/PDF/332033.pdf","brochureDate":"11 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1017441","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 Seal Cove Capital have?","answer":"Seal Cove Capital has 3 clients and manages $135 million for them, as of March 2026. They include 2 high-net-worth individuals and 1 individual client.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 11 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Seal Cove Capital offer?","answer":"Seal Cove Capital provides 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 Seal Cove Capital charge?","answer":"Seal Cove Capital charges 1.00% a year for its Investment management fees. The fee is billed in arrears, is negotiable and requires an account of at least $1,000,000.","source":"SEAL COVE ADV PART 2, filed 11 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Seal Cove Capital use?","answer":"Seal Cove Capital’s separately managed account assets are held at National Financial Services LLC (Chicago, IL), with $134M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 11 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Seal Cove Capital have?","answer":"Seal Cove Capital has 1 investment adviser representative registered with state securities authorities, out of 1 employees, and 1 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 Seal Cove Capital invest in?","answer":"At the end of its last fiscal year, Seal Cove Capital’s separately managed accounts held 79% exchange-traded equities and 21% pooled vehicles (private funds and similar).","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 Seal Cove Capital have a minimum investment?","answer":"Yes, Seal Cove Capital’s minimum account size for its Investment management fees is $1M.","source":"SEAL COVE ADV PART 2, filed 11 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Seal Cove Capital?","answer":"Seal Cove Capital’s direct owner is Kevin Lee (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 11 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Seal Cove Capital get paid?","answer":"Seal Cove Capital is paid through a percentage of assets under management. 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 Seal Cove Capital?","answer":"Its phone number is 415-306-2583.","source":"Form ADV Part 1A, Item 1.F, filed 11 March 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."}