Serenity Investment Advisors Llc
- Regulatory AUM
- $514M
- Discretionary
- $255M
- Clients
- 434
- Avg AUM / client
- $1.2M
- Accounts
- 1,109
- Employees
- 7
AUM over time
Annual snapshots from Form ADV filings · as of May 22, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 364 | $110M | 21.4% |
| High net worth individuals | 66 | $145M | 28.2% |
| Pension and profit sharing plans | 1 | $258M | 50.3% |
| Corporations and other businesses | 3 | $240K | 0.05% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Coolsys, Inc. 401(k) Plan Coolsys, Inc. | 2024 | |
| Vee Pak, Llc 401 (K) Plan Vee Pak, Llc | 2020 |
People (6)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Richard David Little | Registered representative | May 2020 (6y) | ||
| Jason Robert Paplaski | Registered representative | Dec 2020 (6y) | ||
| Sean Kyle O'connor | Registered representative | Nov 2024 (2y) | ||
| Trevor Lawrence Mcghie | Registered representative | CFP | Sep 2025 (1y) | |
| Ryan A Kaysen | Registered representative | CFP | Apr 2026 (0y) | |
| Kelly Elizabeth Zownorega | Registered representative | May 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Little, Richard David | President And Cco | Apr 2020 | A | 75% or more |
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.
Retirement plans served (2)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Coolsys, Inc. 401(k) Plan | Coolsys, Inc. | 3,686 | $219M | 01/01/2024 |
| Vee Pak, Llc 401 (K) Plan | Vee Pak, Llc | 0 | $77.1M | 01/01/2020 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 05/22/2026 | 1.03 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
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
Custody
Reported custodians
- Principal Securities, Inc. $258M (50% of AUM) May 2026
- Charles Schwab & Co. $255M (50% of AUM) May 2026
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: May 22, 2026.
View current Form ADV (SEC/IAPD) ↗