SourcingSourcing

SERAPHIM CAPITAL MANAGEMENT, LLC

A75
CRD 170976·SEC 801-120902
AUM
$63.0M
$25M-$100M
Est. Revenue
$630K
@ 1% on AUM
Est. EBITDA
$189K
@ 30% margin
Est. Deal Value
$1.5M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
SERAPHIM CAPITAL MANAGEMENT, LLC
CRD
170976
SEC file #
801-120902
EIN
—
DBA names
—

Economics

AUM
$63.0M
AUM band
$25M-$100M
AUM trajectory
'22'26
$51.5M → $63.0M▲ +22%
Client mix
Individuals Other172
Individuals High Net Worth8

Operations

Employees (total)
3
Advisory staff (per ADV)
3
Advisory staff (5-yr trend)
'22'26
3 advisors → 3 advisors▬ 0%
Primary office
—
Branches
—

Custodian & Brokerage

Primary custodian
LPL Financiallow confidence
Services offered
Portfolio mgmt — individuals
Fee basis
% of AUMHourly chargesPerformance-based fees

Filings

Latest ADV filing
02/10/2026
ADV-W filed at
—
Website
youtube.com/@seraphimcapitalmanagement

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
MORRIS, JOHN, PATRICK
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
MORRIS, JOHN, PATRICK
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
fallback_guess:seraphim.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (8)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
1
Bc Firm IAR Count
1
Custodian Candidates
Full
Lpl Financial4
E*trade4
Interactive Brokers2
Firm Has Custody
No
Top Owner CRD
340494
Trust Company Affiliate
No

People (1)

1
MORRIS, JOHN, PATRICK
IAR · Direct Owner · 87.5%
340494