Seros Financial, Llc
- Regulatory AUM
- $359M
- Discretionary
- $359M
- Clients
- 457
- Avg AUM / client
- $786K
- Accounts
- 1,049
- Employees
- 10
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Sep 02, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 320 | $123M | 34.3% |
| High net worth individuals | 121 | $218M | 60.6% |
| Pooled investment vehicles (non-investment companies) | 1 | $0 | — |
| Pension and profit sharing plans | 8 | $15.3M | 4.27% |
| Charitable organizations | 2 | $709K | 0.2% |
| Corporations and other businesses | 5 | $2.0M | 0.56% |
People (7)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Jeremy Windell Smith | Managing Member | Feb 2013 (14y) | 75% or more | |
| Sherod Norton Bigelow | Chief Compliance Officer | Feb 2013 (14y) | Less than 5% | |
| Jeffrey Peterson Wilcock | Registered representative | Mar 2013 (14y) | ||
| Jill E Baumes | Registered representative | Mar 2013 (14y) | ||
| Ashlee Victoria Merkley | Registered representative | Nov 2021 (5y) | ||
| Whitney M. Hendricks | Registered representative | Feb 2026 (1y) | ||
| Kaitlyn Ann Crawley Morgan | Registered representative | Feb 2026 (1y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
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) | 06/05/2026 | 1.01 MB | 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
- • Subscription fees
- • Fixed fees
- • Performance-based fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for pooled investment vehicles
- • Selection of other advisers
Custody
Reported custodians
- Axos Clearing $181M (50% of AUM) Jun 2026
- E*TRADE (Morgan Stanley) $141M (84% of AUM) Feb 2022
- Charles Schwab & Co. $121M (34% of AUM) Jun 2026
- Jackson National Life Distributors Llc $38.8M (11% of AUM) Jun 2026
- Pershing $16.5M (5% of AUM) Nov 2025
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have 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: Sep 02, 2026.
View current Form ADV (SEC/IAPD) ↗