Seros Financial provides financial planning, portfolio management for individuals and small businesses, portfolio management for pooled vehicles, selecting other managers, business succession planning, education planning, estate planning, insurance, and retirement plan services. Financial planning was provided to 1–10 clients last fiscal year.
Seros Financial reports 457 clients. They include 320 individual clients, 121 high-net-worth individuals, and 8 pension and profit-sharing plans. Of its assets, 100.0% ($359M across 1,049 accounts) are managed with discretion. It advised 10 clients without assets under management last fiscal year.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 70% | 34% |
| High-net-worth individuals | 26% | 61% |
| Pooled investment vehicles | <1% | 0% |
| Pension and profit-sharing plans | 2% | 4% |
| Charitable organizations | <1% | <1% |
| Other client typesCorporations and other businesses | 1% | <1% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 320 | $123M | 34.3% | $385K |
| High-net-worth individuals | 121 | $218M | 60.6% | $1.8M |
| Pooled investment vehicles | 1 | $0 | 0.0% | $0 |
| Pension and profit-sharing plans | 8 | $15.3M | 4.3% | $1.92M |
| Charitable organizations | Fewer than 5 | $709K | 0.2% | $355K |
| Corporations and other businesses | 5 | $2.02M | 0.6% | $404K |
| Total | 457 | $359M | 100% | — |
- Clients
- 320
- Regulatory AUM
- $123M
- AUM share
- 34.3%
- Avg. per client
- $385K
- Clients
- 121
- Regulatory AUM
- $218M
- AUM share
- 60.6%
- Avg. per client
- $1.8M
- Clients
- 1
- Regulatory AUM
- $0
- AUM share
- 0.0%
- Avg. per client
- $0
- Clients
- 8
- Regulatory AUM
- $15.3M
- AUM share
- 4.3%
- Avg. per client
- $1.92M
- Clients
- Fewer than 5
- Regulatory AUM
- $709K
- AUM share
- 0.2%
- Avg. per client
- $355K
- Clients
- 5
- Regulatory AUM
- $2.02M
- AUM share
- 0.6%
- Avg. per client
- $404K
Total
- Clients
- 457
- Regulatory AUM
- $359M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 10
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 1–10
Seros Financial charges 1.60%–1.90% a year for its Portfolio Management. The fee is negotiable. The brochure also prices one other service, listed under fee details.
Fee details and sources
Other fees
- Limited Financial Planning Engagements
- Limited financial planning engagements are billed hourly at $150 to $400 per hour, or as fixed fees of $500 to $30,000.
Jeremy Smith owns 75% or more of Seros Financial. The leadership team of Seros Financial includes Chief Compliance Officer Sherod Bigelow. It has 10 employees, 7 of them in advisory roles.
Leadership
- Sherod BigelowChief Compliance Officer
- Jeremy SmithManager
Investment adviser representatives
8 representatives listed in the SEC register as of 9 October 2026.
- Jill E Baumes
- Sherod Norton Bigelow
- Whitney M. Hendricks
- Joshua Daniel Magnus
- Ashlee Victoria Merkley
- Kaitlyn Ann-Crawley Morgan
- Jeremy Windell Smith
- Jeffrey Peterson Wilcock
Staff
- 10 employees
- 7 in advisory functions
- 7 state-registered reps
- 7 insurance agents
- 1 soliciting firm
- Owns 75% or more of Seros Financial, LLC
Jeremy Smith
Control person · since February 2013
- Owns 75% or more of Seros Financial, LLC
Smith Family Trust
Control person · since February 2013
Shawna Smith
Trustee · Control person · since February 2013
Seros Financial’s regulatory assets grew 2.7× from $135M (June 2021) to $359M (September 2026); clients rose from 321 to 457 and employees from 6 to 10.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| September 2026 | $359M | 457 | 10 | 2 |
| July 2025 | $301M | 534 | 3 | 1 |
| March 2024 | $261M | 400 | 5 | 1 |
| April 2023 | $187M | 368 | 6 | 1 |
| July 2022 | $167M | 369 | 6 | 2 |
| June 2021 | $135M | 321 | 6 | 2 |
Besides its headquarters, Seros Financial has 1 office, with 2 listed addresses in Arizona and Colorado.
Arizona · 1 listed address
- 155 E Rivulon BLVD, Suite 304, GilbertHQ
Colorado · 1 listed address
- 1745 Shea Center Drive, Highlands Ranch
Other business names
Seros Financial has reported 1 other business name to the SEC.
- Seros Wealth Partners
Contact and registration details
- Legal name
- Seros Financial, LLC
- Headquarters
- 155 E Rivulon BLVD, Suite 304, Gilbert, AZ 85297
- Website
- serosfinancial.com
- Phone
- 480-967-1155
- @seros-financial-llc
- SEC file
- 801-120609
- Structure
- Arizona LLC
- Fiscal year end
- December
Seros Financial uses Axos Clearing ($181M, 53%), Charles Schwab ($121M, 36%) and Jackson National Life Distributors ($38.8M, 11%) as custodians for its separately managed accounts. Seros Financial does not have custody of client assets.
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $121M36%
- Axos ClearingAxos Clearing LLC · Omaha, NE · $181M53%
- Jackson National Life DistributorsJackson National Life Distributors LLC · Franklin, TN · $38.8M11%
At year end, Seros Financial’s separately managed accounts were mostly in funds (79%). Its reported 13F holdings for the quarter ended 30 June 2026 total $192M across 66 positions; the largest are Invesco Exch Traded FD TR II (15.0%), Invesco Qqq TR (9.5%) and Invesco Exchange Traded FD T (8.5%).
What the accounts hold
- Stocks9%
- Funds79%
- Registered funds68%
- Pooled vehicles11%
- Bonds6%
- U.S. government and agency bonds3%
- Investment grade corporate bonds3%
- Cash3%
- Other5%
- Indexed annuities5%
Reported 13F holdings
- $192M
- Reported 13F value
- 66
- Positions
- 72.4%
- In the 10 largest
- +22.2%
- Value vs. prior quarter
- Invesco Exch Traded FD TR II · S&P 500 Momntm15.0%
- Invesco Qqq TR · Unit Ser 19.5%
- Invesco Exchange Traded FD T · S&P Smlcp Moment8.5%
- Schwab Strategic TR · Intl Eqty ETF6.8%
- Legg Mason ETF Invt · Franklin Intl LW5.8%
- First TR Exchng Traded FD VI · FT Vest Nasd ETF5.7%
- Invesco Exchange Traded FD T · S&P 500 Top 505.6%
- American Centy ETF TR · US Large Cap Vlu5.2%
- First TR Exch Traded FD Iii · Pfd Secs Inc. ETF5.2%
- First TR Exchng Traded FD VI · FT Ladd Buff ETF5.1%
Together, the ten largest are 72.4% of reported value.
How many clients does Seros Financial have?
Seros Financial has 457 clients and manages $359 million for them, as of September 2026. They include 320 individual clients, 121 high-net-worth individuals, and 8 pension and profit-sharing plans.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 2 September 2026
What services does Seros Financial offer?
Seros Financial provides financial planning, portfolio management for individuals and small businesses, portfolio management for pooled vehicles, selecting other managers, business succession planning, education planning, estate planning, insurance, and retirement plan services.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4
How much does Seros Financial charge?
Seros Financial charges 1.60%–1.90% a year for its Portfolio Management. The fee is negotiable.
Which custodians does Seros Financial use?
Seros Financial’s separately managed account assets are held at Axos Clearing LLC (Omaha, NE), with $181M, Charles Schwab & Co., Inc. (Westlake, TX), with $121M and Jackson National Life Distributors LLC (Franklin, TN), with $38.8M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 2 September 2026
How many financial advisors does Seros Financial have?
Seros Financial has 7 investment adviser representatives registered with state securities authorities, out of 10 employees, and 7 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 7 employees are licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Seros Financial invest in?
At the end of its last fiscal year, Seros Financial’s separately managed accounts held 68% registered funds (mutual funds, ETFs, BDCs), 11% pooled vehicles (private funds and similar), 9% exchange-traded equities, 5% other, 3% U.S. government and agency bonds, 3% investment grade corporate bonds and 3% cash and equivalents. The 5% other category is described as: Indexed Annuities.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Seros Financial?
Seros Financial’s direct owners are Jeremy Smith (75% or more) and Smith Family Trust (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 2 September 2026
How does Seros Financial get paid?
Seros Financial is paid through a percentage of assets under management, hourly charges, subscription fees, fixed fees and performance-based fees. Its Form ADV lists no commissions 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 Seros Financial?
Seros Financial’s main office is at 155 E Rivulon BLVD, Suite 304, Gilbert, AZ 85297. Its phone number is 480-967-1155. Its website is serosfinancial.com.