SourcingSourcing

SENECA CAPITAL MANAGEMENT, LLC

C50
CRD 288206·SEC 801-121186·DENVER, CO
AUM
$120.0M
$100M-$500M
Est. Revenue
$1.2M
@ 1% on AUM
Est. EBITDA
$360K
@ 30% margin
Est. Deal Value
$2.9M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
SENECA CAPITAL MANAGEMENT, LLC
CRD
288206
SEC file #
801-121186
EIN
943239114
DBA names
—

Economics

AUM
$120.0M
AUM band
$100M-$500M
AUM trajectory
'22'26
$116.0M → $120.0M▲ +3%
Client mix
Pooled Investment Vehicles2

Operations

Employees (total)
1
Advisory staff (per ADV)
1
Advisory staff (5-yr trend)
'22'26
1 advisors → 1 advisors▬ 0%
Primary office
DENVER CO
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Portfolio mgmt — pooled vehicles
Fee basis
% of AUMPerformance-based fees

Filings

Latest ADV filing
03/23/2026
ADV-W filed at
—
Website
linkedin.com/company/senecacapitalpartners(social)

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
SENECA CAPITAL PARTNERS, LLC
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
2
Control Persons
SENECA CAPITAL PARTNERS, LLC
TREES, RHETT, Austin James
Solo Advisor Indicator
Yes
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
fallback_guess:seneca.com

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001044207
Edgar Registered
Yes
Edgar Filing Count
89
Edgar First Filing Date
1999-05-05
Edgar Last Filing Date
2022-08-09
Edgar 13f Count
83
Edgar 13f Latest AUM Estimate
Filing Date2022-08-09
Accession0001044207-22-000008
Edgar Former Names
SCM ADVISORS LLC
SENECA CAPITAL MANAGEMENT LLC

Compliance & brand

Firm Registration Status
active

All other collected signals (11)

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
E*trade4
Edgar Addresses
Mailing
ONE FINANCIAL PLAZA20TH FLOORHARTFORD, CT 06103
Business
ONE FINANCIAL PLAZA20TH FLOORHARTFORD, CT 06103
Edgar EIN
943239114
Edgar Recent Filings
13F-HR2022-08-09 · 0001044207-22-000008
13F-HR2022-05-16 · 0001587281-22-000005
Firm Has Custody
Yes
Mailing Office Differs
No
Trust Company Affiliate
No

People (1)

1
TREES, RHETT, AUSTIN JAMES
IAR · Executive Officer · 2.5%
5777621