Seraphim Capital Management

What Seraphim Capital Management does

Seraphim Capital Management is a privately held registered investment advisor (RIA) founded in approximately 2004 and headquartered in New York, providing non-pooled, separately managed account portfolio management to individual investors and retirees. The firm delivers personalized wealth management services including investment portfolio construction, retirement planning, 401(k) consolidation (including retrieval of dormant accounts), ESG-aligned investing, estate planning support, and tax-efficient investment strategies. The firm is veteran-owned and integrates in-house CPA professional expertise to enhance tax-efficient portfolio construction. The team cites 125 years of collective investment expertise across multiple securities license holders, with Managing Partner and Portfolio Manager John Morris (30+ years of Wall Street experience at Kellogg Partners and Tradition-Asiel Securities) overseeing investment decisions and operations, and Lindsay Kless directing marketing operations and business development.

The firm operates through a direct, relationship-based go-to-market model, supplemented by educational website content covering SECURE Act 2.0, I-Bonds, TIPS, Market Linked CDs, and dormant 401(k) retrieval, plus weekly market commentary sourced from a partnership with LPL Financial Research. Client acquisition is facilitated through Calendly-based complimentary consultations, direct outreach via phone and contact forms, and referrals. The firm maintains offices in New York (NY), Morristown (NJ), Pennsburg (PA), and Boulder (CO), providing regional coverage across the Northeast, Mid-Atlantic, and Rocky Mountain geographies. Revenue is generated through portfolio management fees on separately managed accounts under an RIA fee structure that is not publicly disclosed but is likely AUM-based. The firm is not registered as a broker/dealer and does not custody its own technology platform; it functions as a traditional advisory practice rather than a technology-enabled wealth manager.

Note on data quality: one source identifies "Seraphim Capital" as an investor in Nu Quantum's £7M pre-Series A round, which more likely refers to the UK-based Seraphim Capital space/tech venture fund rather than this US wealth management RIA. This conflation should be resolved before any investment decision relies on that data point.

Name

Seraphim Capital Management

Legal name

Seraphim Capital Management

Website

https://seraphimcapitalmanagement.com

Company type

Private

Founded year

2004

Operating status

Operating

Headcount range

1–10 employees

Short description

Seraphim Capital Management is a New York-based registered investment advisor providing personalized, separately managed account portfolio management and retirement planning services to individual investors and retirees across four US states (NY, NJ, PA, CO).

Ownership category

akta.pro rank

Product category

Wealth Management

NAICS

Portfolio Management and Investment Advice (523940)

SIC

Investment Advice (6282)

akta.pro primary industry

Discretionary Portfolio Management (Retail) (FSAAAAAH)

Keywords

• Wealth management services
• Separately managed accounts
• Retirement planning
• ESG investing
• Portfolio management

Headquarters

HQ city

New York

HQ country

United States

HQ region

North America

Offices4 records

Markets served

GTM type

B2C

Offering type

Services

Cost components

Personnel, Operations, Marketing or Sales, Technology or R&D, Infrastructure

Revenue model

1. Portfolio Management Fees: Seraphim Capital Management generates revenue through separately managed account portfolio management services. As a registered investment advisor, the firm charges fees for investment advisory services, which typically include portfolio management and financial planning. The firm leverages 125 years of collective investment expertise to deliver sustainable returns through rigorous research and disciplined processes.

Pricing tiers

Go-to-market motion1 record

Distribution channels1 record

Marketing channels4 records

Core offering

Seraphim Capital Management provides non-pooled, separately managed account portfolio management services to individual investors and retirees. The firm delivers holistic wealth management that combines investment portfolio construction, retirement planning (including 401K consolidation and dormant account retrieval), ESG-aligned investing, and tax-efficient strategies supported by an in-house CPA professional. Client relationships are built on personalized service, regular portfolio reviews, and disciplined research-driven investment processes.

Product overview

Seraphim Capital Management is a wealth management firm that provides non-pooled, separately managed account portfolio management services. The company does not offer a technology product platform but rather provides financial advisory and investment management services through human advisors. Their offerings include portfolio management, retirement planning guidance, and investment strategy services. The website contains informational educational content about investment products such as Market Linked CDs, I Bonds, SECURE Act 2.0 provisions, and dormant 401(k) consolidation.

Differentiator

Problem solved

Functional benefit

Products and services

• Separately Managed Account Portfolio Management Non-pooled, individually tailored portfolio management in separately managed accounts for individual investors and retirees, using rigorous research and disciplined processes to generate sustainable returns aligned with each client's objectives and risk tolerance.
• Retirement Planning and Dormant 401K Retrieval Service for individual investors and retirees to retrieve and consolidate scattered 401(k) accounts left behind with former employers, addressing an estimated $1.65 trillion in forgotten 401(k) assets across 29.2 million Americans.
• ESG / Socially Responsible Investing Personalized portfolio construction for clients whose primary concern is environmental and social governance, building a portfolio aligned with those values.
• Tax-Efficient Investment Strategy Tax-efficient investment strategy service that incorporates an in-house CPA's professional expertise to enhance after-tax outcomes across client portfolios.

Quantifiable outcome

• Assistance with retrieving an estimated $1.65 trillion in forgotten 401(k) accounts held by 29.2 million Americans.

Segments1 record

Ideal customer profiles1 record

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Scale indicators1 record

Recent moves6 records

Expansion highlights4 records

Emerging players

• Personal Capital (Empower Personal Dashboard): Hybrid digital wealth manager combining technology-driven portfolio management with human advisors for individual investors. Comparable in retail-discretionary wealth management but differentiated by its proprietary tech platform and lower fee tier.

Broad incumbents

• LPL Financial: Largest independent broker-dealer and RIA custodian that supports thousands of advisor practices, including Seraphim's research relationship (LPL Financial Research weekly commentary). Comparable as an RIA platform player, though structurally a custodian/BD rather than a peer advisor.
• Bessemer Trust: Wealth management and investment advisory firm serving HNW/UHNW families with discretionary portfolio management and tax/trust services. Comparable in the integrated-CPA and trust-adjacent value proposition, though at a much higher client wealth threshold.
• Vanguard Personal Advisor Services: Hybrid advisory offering from Vanguard combining robo-advisor capabilities with human advisor access. Comparable in targeting individual investors and retirees, but at massive scale and a much lower headline fee.
• Charles Schwab Wealth Advisory: Schwab's discretionary wealth advisory service for retail and mass-affluent clients. Comparable in client segment and managed-account structure, but with significantly broader product platform and lower-cost distribution.

Direct peers

• Fisher Investments: Large independent RIA serving individual investors and retirees with discretionary portfolio management and personalized financial planning. Most directly comparable in business model — fee-based AUM, retail/mass-affluent focus — though at significantly greater scale.
• Creative Planning: Large multi-office RIA providing holistic wealth management, retirement, and tax planning to individuals and families nationwide. Comparable in holistic financial planning + investment management model and multi-state footprint.
• Edelman Financial Engines: National RIA offering discretionary portfolio management and retirement/401(k) rollover services to individual investors. Comparable in customer segment (retirees, 401(k) consolidators) and core offering (managed portfolios with planning).
• Carson Group: RIA and wealth management firm serving individual investors through a national network of advisor offices. Comparable in its relationship-based, advisor-led model targeting retail and mass-affluent clients.
• Mariner Wealth Advisors: Multi-office RIA providing personalized wealth management, retirement planning, and tax-efficient investment strategies to individuals and families. Comparable in multi-state office model and holistic planning approach.

Market position

Strengths5 records

Weaknesses5 records

Competitive moat3 records

Key risks6 records

Key highlights6 records

Customer concentration

Revenue estimate

Valuation estimate

Number of profiles

Profiles2 records

Funding overview

Funding rounds

Investors

Funding detail is available on the Subscription and Enterprise plan.Contact sales →

M&A

Investments

M&A and investment is available on the Subscription and Enterprise plan.Contact sales →

Frequently asked questions about Seraphim Capital Management