Seraph Capital Associates, LLC
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Overview
Seraph Capital Associates, LLC operates as a financial advisor company that has its headquarters in Bartlesville, Oklahoma. Seraph Capital Associates, LLC administers $65.1 million in total assets across 388 customer accounts. The firm has a small group, including 1 financial advisor. Seraph Capital Associates, LLC is not a registered broker-dealer, meaning the company is not able to buy and sell securities for its own accounts as well as its customers' and instead has to go through a broker-dealer company to do so. Securities are exchangable financial investments such as bonds, options and equities.
Seraph Capital Associates, LLC oversees all of the company's accounts in a discretionary manner. Discretionary management is a structure in which buy and sell judgments for the client's account are made by an investment advisor without requiring client permission. The firm supervises roughly $167,720 in assets for every account. The average financial advisor at Seraph Capital Associates, LLC oversees around 388 client accounts.
The firm's central office is located at 501 Se Fourth Street, Bartlesville, Oklahoma 74003-3906. Seraph Capital Associates, LLC is legally registered to serve customers across a number of states, including Arizona, Arkansas, Kansas, Minnesota, Oklahoma, South Dakota and Texas.
Assets Under Management
Number of Advisors
Disclosures
Office Location
Seraph Capital Associates, LLC by the Numbers
$65.1 million
1
388
$167.7 thousand
Fee Structure
Fees charged by financial advisors are based on which services are offered. Fees billed by Seraph Capital Associates, LLC typically consist of the following fee structure: asset-based. Wrap fee programs, or the practice of bundling services for a single fee, are not provided by Seraph Capital Associates, LLC.
Available
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Offered by 69% of firms
Percentage of Assets
Unavailable
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Find one of the 21% of firms that offer this fee type
Hourly
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Find one of the 1% of firms that offer this fee type
Commissions
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Find one of the 26% of firms that offer this fee type
Performance-based
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Find one of the 0% of firms that offer this fee type
Subscription
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Find one of the 32% of firms that offer this fee type
Fixed
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Find one of the 10% of firms that offer this fee type
Other
Types of Clients
The company manages money for a number of different investors. Seraph Capital Associates, LLC works with retail investors, high net worth investors, pension plans, insurance companies and corporations. Out of its 388 accounts, Seraph Capital Associates, LLC's biggest client group by number of accounts is retail investors, although it also manages money for 18 high-net-worth individuals. A high-net-worth individual is defined by the SEC as an investor who has at least $750,000 in AUM or a net worth of more than $1.50 million or who is considered a "qualified purchaser" (a standard met by having at least $5 million in investments). None of the company's customers are non-U.S. persons.
- High-Net-Worth Individuals* - 6.41%
- Other Individuals - 66.19%
- Corporations - 27.4%
- Charitable Organizations - 0%
* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.
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Disclosures
Seraph Capital Associates, LLC does not have any disclosures.
Please visit its Form ADV for more details.
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