Sera Capital Management Limited Liability provides portfolio management for individuals and small businesses and portfolio management for institutions.
Sera Capital Management Limited Liability reports 74 clients. They include 46 individual clients and 28 high-net-worth individuals. Of its assets, 81.9% ($93.6M across 91 accounts) are managed with discretion; $20.7M across 15 accounts are not. It advised 105 clients without assets under management last fiscal year.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 62% | 84% |
| High-net-worth individuals | 38% | 16% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 46 | $96.4M | 84.4% | $2.1M |
| High-net-worth individuals | 28 | $17.8M | 15.6% | $636K |
| Total | 74 | $114M | 100% | $1.54M |
- Clients
- 46
- Regulatory AUM
- $96.4M
- AUM share
- 84.4%
- Avg. per client
- $2.1M
- Clients
- 28
- Regulatory AUM
- $17.8M
- AUM share
- 15.6%
- Avg. per client
- $636K
Total
- Clients
- 74
- Regulatory AUM
- $114M
- AUM share
- 100%
- Avg. per client
- $1.54M
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 105
- Private funds advised
- 0
Sera Capital Management Limited Liability is paid through a percentage of assets under management, hourly charges and fixed fees (other than subscription fees). The reviewed brochures do not disclose an asset-based fee rate. Read the SEC-filed brochure. The brochure also prices one other service, listed under fee details.
Fee details and sources
Other fees
- Investment Consulting (1031 Exchange Plans)
- Investment consulting for a 1031 exchange plan is billed at up to $350 an hour, or a one-time fee not to exceed 3% of the completed plan's assets.
Carlos Sera owns 75% or more of Sera Capital Management Limited Liability. It has 5 employees.
Leadership
- Carl SeraManaging Principal, Portfolio Manager, & CCO
Carlos SeraManaging Principal
Investment adviser representatives
5 representatives listed in the SEC register as of 9 October 2026.
Staff
- 5 employees
- 5 in advisory functions
- 5 state-registered reps
- 1 insurance agent
- Owns 75% or more of Sera Capital Management Limited Liability Company
Carlos Sera
Control person · since April 1990
Besides its headquarters, Sera Capital Management Limited Liability has 2 offices (1 private residence, listed without an address), with 2 listed addresses in Maryland.
Maryland · 2 listed addresses
- 1910 Towne Centre BLVD, Suite 250, AnnapolisHQ
- 2 Compromise St, Annapolis
Other business names
Sera Capital Management Limited Liability has reported 3 other business names to the SEC.
- Financial Tales
- Sera Capital
- Sera Capital Management, LLC
Contact and registration details
- Legal name
- Sera Capital Management Limited Liability Company
- Headquarters
- 1910 Towne Centre BLVD, Suite 250, Annapolis, MD 21401
- Website
- seracapital.com
- Phone
- 301-464-8333
- SEC file
- 801-135960
- Structure
- Maryland LLC
- Fiscal year end
- December
Sera Capital Management Limited Liability uses Charles Schwab ($114M) as custodian for its separately managed accounts. Sera Capital Management Limited Liability has custody of $10.4M in client assets for 2 clients.
- Charles SchwabCharles Schwab & Co., Inc. · San Francisco, CA · $114M100%
At year end, Sera Capital Management Limited Liability’s separately managed accounts were mostly in stocks (56%) and funds (35%).
What the accounts hold
- Stocks56%
- Exchange-traded equities47%
- Non-exchange-traded equities9%
- Funds35%
- Registered funds27%
- Pooled vehicles8%
- Cash9%
How many clients does Sera Capital Management Limited Liability have?
Sera Capital Management Limited Liability has 74 clients and manages $114 million for them, as of June 2026. They include 46 individual clients and 28 high-net-worth individuals.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 24 June 2026
What services does Sera Capital Management Limited Liability offer?
Sera Capital Management Limited Liability provides portfolio management for individuals and small businesses and portfolio management for institutions.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
Which custodians does Sera Capital Management Limited Liability use?
Sera Capital Management Limited Liability’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $114M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 24 June 2026
How many financial advisors does Sera Capital Management Limited Liability have?
Sera Capital Management Limited Liability has 5 investment adviser representatives registered with state securities authorities, out of 5 employees, and 5 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Sera Capital Management Limited Liability invest in?
At the end of its last fiscal year, Sera Capital Management Limited Liability’s separately managed accounts held 47% exchange-traded equities, 27% registered funds (mutual funds, ETFs, BDCs), 9% non-exchange-traded equities, 9% cash and equivalents and 8% 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
Who owns Sera Capital Management Limited Liability?
Sera Capital Management Limited Liability’s direct owner is Carlos Sera (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 24 June 2026
How does Sera Capital Management Limited Liability get paid?
Sera Capital Management Limited Liability 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
How do I contact Sera Capital Management Limited Liability?
Sera Capital Management Limited Liability’s main office is at 1910 Towne Centre BLVD, Suite 250, Annapolis, MD 21401. Its phone number is 301-464-8333. Its website is seracapital.com.