{"url":"https://nivawealth.com/firms/sera-capital-management-limited-liability-120896","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/120896","regulatoryAum":114258975,"crd":"120896","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"7320051","suffix":null,"lastName":"BALOGH","firstName":"ROMAN","middleName":"GABRIEL"},{"crd":"6615102","suffix":null,"lastName":"Sera","firstName":"Carl","middleName":"Edward"},{"crd":"1736186","suffix":null,"lastName":"SERA","firstName":"CARLOS","middleName":"MANUEL"},{"crd":"7360459","suffix":null,"lastName":"Sera","firstName":"Joseph","middleName":"Anthony"},{"crd":"8181506","suffix":null,"lastName":"SERA","firstName":"JUAN","middleName":"RAFAEL"}],"total":5,"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"},"secFileNumber":"801-135960","legalName":"Sera Capital Management Limited Liability Company","displayName":"Sera Capital Management Limited Liability","slug":"sera-capital-management-limited-liability-120896","website":"https://seracapital.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Maryland limited liability company","fiscalYearEnd":"December","headquarters":{"street":"1910 Towne Centre BLVD, Suite 250","city":"Annapolis","state":"MD","stateName":"Maryland","country":"United States","postalCode":"21401"},"tradeNames":["Financial Tales","Sera Capital","Sera Capital Management, LLC"],"registration":{"secApproved":"23 April 2026","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1544040.2027027027,"staff":{"employees":5,"advisory":5,"brokerDealerReps":0,"insuranceAgents":1,"promoters":0},"aum":{"regulatory":114258975,"discretionary":93555934,"discretionaryAccounts":91,"nonDiscretionary":20703041,"nonDiscretionaryAccounts":15,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":105},"clientTypes":[{"label":"Individuals (other than HNW)","clients":46,"regulatoryAum":96447844},{"label":"High-net-worth individuals","clients":28,"regulatoryAum":17811131}],"feePrograms":[{"role":"other","program":"Investment Consulting (1031 Exchange Plans)","summary":"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.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1049315","versionId":1049315,"submittedOn":"2026-06-24","documentName":"SERA CAPITAL MANAGEMENT"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T12:33:39.373805+00:00","documents":[{"name":"SERA CAPITAL MANAGEMENT","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1049315","versionId":1049315,"submittedOn":"2026-06-24"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":114258975}],"custodyNote":"Sera Capital Management Limited Liability has custody of $10.4M in client assets for 2 clients.","otherCustodians":[],"leadership":[{"name":"Carl Sera","title":"Managing Principal, Portfolio Manager, & CCO","crd":"6615102"},{"name":"Carlos Sera","title":"Managing Principal","crd":"1736186"}],"ownership":[{"label":"Carlos Sera","detail":"Managing principal in the 75% or more ownership band and a control person, since April 1990."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":2,"privateResidences":1},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"Maryland","offices":2,"addresses":[{"street":"1910 Towne Centre BLVD, Suite 250","city":"Annapolis","headquarters":true},{"street":"2 Compromise St","city":"Annapolis"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"301-464-8333","stateRegisteredReps":5,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":47},{"label":"Non-exchange-traded equity securities","percent":9},{"label":"Securities issued by registered investment companies or business development companies","percent":27},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":8},{"label":"Cash and cash equivalents","percent":9}],"privateFunds":0},"sources":{"adv1FilingDate":"24 June 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/120896/PDF/120896.pdf","brochureDate":"24 June 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1049315","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 Sera Capital Management Limited Liability have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Sera Capital Management Limited Liability offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Sera Capital Management Limited Liability use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Sera Capital Management Limited Liability have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Sera Capital Management Limited Liability invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Sera Capital Management Limited Liability?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Sera Capital Management Limited Liability get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Sera Capital Management Limited Liability?","answer":"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.","source":"Form ADV Part 1A, Item 1.F, filed 24 June 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."}