{"url":"https://nivawealth.com/firms/seros-financial-166808","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/166808","regulatoryAum":359182480,"crd":"166808","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5323816","suffix":null,"lastName":"BAUMES","firstName":"JILL","middleName":"E"},{"crd":"4227114","suffix":null,"lastName":"BIGELOW","firstName":"SHEROD","middleName":"NORTON"},{"crd":"7977016","suffix":null,"lastName":"Hendricks","firstName":"Whitney","middleName":"M."},{"crd":"6023697","suffix":null,"lastName":"Magnus","firstName":"Joshua","middleName":"Daniel"},{"crd":"7065046","suffix":null,"lastName":"Merkley","firstName":"Ashlee","middleName":"Victoria"},{"crd":"7788526","suffix":null,"lastName":"Morgan","firstName":"Kaitlyn","middleName":"Ann-Crawley"},{"crd":"5058621","suffix":null,"lastName":"SMITH","firstName":"JEREMY","middleName":"WINDELL"},{"crd":"2034946","suffix":null,"lastName":"WILCOCK","firstName":"JEFFREY","middleName":"PETERSON"}],"total":8,"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":"2021-06-25","regulatoryAum":134519811,"clients":321,"employees":6,"offices":2},{"filedOn":"2022-07-19","regulatoryAum":166752002,"clients":369,"employees":6,"offices":2},{"filedOn":"2023-04-05","regulatoryAum":187467128,"clients":368,"employees":6,"offices":1},{"filedOn":"2024-03-12","regulatoryAum":260841497,"clients":400,"employees":5,"offices":1},{"filedOn":"2025-07-09","regulatoryAum":301058504,"clients":534,"employees":3,"offices":1},{"filedOn":"2026-09-02","regulatoryAum":359182480,"clients":457,"employees":10,"offices":2}],"secFileNumber":"801-120609","legalName":"Seros 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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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Seros Financial offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Seros Financial charge?","answer":"Seros Financial charges 1.60%–1.90% a year for its Portfolio Management. The fee is negotiable.","source":"ADV PART 2A SEROS FINANCIAL, LLC, filed 5 June 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Seros Financial use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Seros Financial have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Seros Financial invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Seros Financial?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Seros Financial get paid?","answer":"Seros Financial is paid through a percentage of assets under management, hourly charges, subscription fees, fixed fees and performance-based fees. 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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."}