Wealth manager, independent · Purchase, NY
Seacrest Wealth Management, LLC
SEC-registered investment adviser · CRD 147092 · SEC 801-69141
At a glance
Seacrest Wealth Management, LLC is an SEC-registered investment adviser based in Purchase, New York, with $1.5B in regulatory assets under management as of its Form ADV filed August 10, 2026. It reports 1,475 individual clients, 373 of them high-net-worth, holding an average of about $1.0 million each, and 47 employees. That ranks it 713th among the nation’s 5,657 independent wealth management RIAs and 54th of 408 in New York. It reports Charles Schwab as the custodian for its clients’ separately managed accounts.
Main office 914-502-1900seacrestwm.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $1.5B
- Rank among independent wealth managers
- #713 of 5,657
- Rank among all SEC RIAs
- #4,212 of 17,210
- Rank in New York
- #54 of 408
- Individual clients
- 1,475
- High-net-worth clients
- 373
- Accounts
- 3,417
- Discretionary
- 94% of AUM
- Employees
- 47
- Advisory staff
- 36
- Offices
- 23
Owners and executives on its Form ADV
- Edward M. SullivanPresident, Managing Member
- Ronald R LenihanManaging Member and Chief Compliance Officer
- Steven H. HemricChief Financial Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
Seacrest Wealth Management, LLC is a hybrid RIA: 9 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed March 2026) names Purshe Kaplan Sterling Investments as the broker-dealer its advisers are registered with.
Broker-Dealer Affiliation Certain Advisory Persons are also registered representatives of Purshe Kaplan Sterling Investments, Inc.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 373 | $1.2B | 78% |
| Individuals | 1,102 | $300M | 20% |
| Corporations or other businesses | 9 | $20M | 1% |
| Charitable organizations | 9 | $7M | <1% |
| Pension and profit sharing plans | 5 | $3M | <1% |
Disciplinary disclosures
Seacrest Wealth Management, LLC answers yes to 4 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Pension consulting
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗seacrestwm.com ↗
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- Assets, accounts, clients and staff, ten years of filings
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Similar-size RIAs in New York
All of New York →| Firm | Regulatory AUM | Clients |
|---|---|---|
| Bouchey Financial Group, LTD.Troy | $1.6B | 1,190 |
| Consolidated Portfolio Review CorpWoodbury | $1.6B | 6,187 |
| Independent Solutions Wealth Management, LLCWilliamsville | $1.5B | 4,265 |
| Ascent Wealth Partners, LLCNew Hartford | $1.5B | 1,036 |
| John G. Ullman & Associates, IncHorseheads | $1.5B | 992 |
| Whitney & CompanyRochester | $1.5B | 739 |
Background
Questions
How much does Seacrest Wealth Management, LLC manage?
Seacrest Wealth Management, LLC reports $1.5B in regulatory assets under management across 3,417 accounts, 94% of it on a discretionary basis, on its Form ADV filed August 10, 2026.
How many clients does Seacrest Wealth Management, LLC have?
It reports 1,475 individual clients: 373 high-net-worth individuals and 1,102 other individuals. Individuals account for about 98% of its regulatory assets.
Where is Seacrest Wealth Management, LLC headquartered?
Its main office is in Purchase, New York. It reports 23 offices in total and 47 employees, 36 of whom perform investment advisory functions.
How does Seacrest Wealth Management, LLC charge clients?
On Form ADV it lists these forms of compensation: a percentage of assets under management; hourly charges; fixed fees. Fees and minimums are set out in its Form ADV Part 2A brochure, available on the SEC’s adviser search.
What custodian does Seacrest Wealth Management, LLC use?
It reports Charles Schwab as the custodian for its clients’ separately managed accounts. On Schedule D of its Form ADV filed August 10, 2026, it reports these amounts held: Charles Schwab ($1.4B). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is Seacrest Wealth Management, LLC a hybrid RIA with a broker-dealer?
Seacrest Wealth Management, LLC is a hybrid RIA: 9 of its employees are also registered representatives of a broker-dealer. Those representatives can also earn commissions on brokerage business through the broker-dealer, where different rules apply than for advisory accounts.
Is Seacrest Wealth Management, LLC a fiduciary?
As an SEC-registered investment adviser, Seacrest Wealth Management, LLC owes its advisory clients a fiduciary duty under the Investment Advisers Act of 1940, which includes duties of care and loyalty. 9 of its employees are also registered representatives of a broker-dealer, where different rules apply to brokerage recommendations.
Where these numbers come from
Every figure is Seacrest Wealth Management, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-08-10), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Its national rank compares it with every US-based independent wealth management RIA, the same field as The Largest RIAs. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →