Sera Capital Management Limited Liability Company
- Regulatory AUM
- $114M
- Discretionary
- $93.6M
- Clients
- 74
- Avg AUM / client
- $1.5M
- Accounts
- 106
- Employees
- 5
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Jun 24, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 46 | $96.4M | 84.4% |
| High net worth individuals | 28 | $17.8M | 15.6% |
People (5)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Carl Edward Sera | Registered representative | Feb 2016 (10y) | ||
| Joseph Anthony Sera | Registered representative | Apr 2021 (5y) | ||
| Carlos Manuel Sera | Registered representative | Apr 2021 (5y) | ||
| Roman Gabriel Balogh | Registered representative | Jan 2025 (2y) | ||
| Juan Rafael Sera | Registered representative | Nov 2025 (1y) |
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 06/24/2026 | 996 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Charles Schwab & Co. $114M (100% of AUM) Jun 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jun 24, 2026.
View current Form ADV (SEC/IAPD) ↗