Asset manager · Chicago, IL
Serenity Investment Advisors
Serenity Investment Advisors LLC · SEC-registered investment adviser · CRD 307924 · SEC 801-123727
At a glance
Serenity Investment Advisors is an SEC-registered investment adviser based in Chicago, Illinois, with $514 million in regulatory assets under management as of its Form ADV filed May 22, 2026. Its largest client group by assets is pension and profit sharing plans, and it reports 430 individual clients. By Form ADV it is a asset manager, ranked 1,666th of 3,218 asset managers and 7,714th of 17,210 SEC-registered advisers by assets.
Main office 312-734-1415serenitywm.comAs filed on Form ADV
- Regulatory AUM
- $514M
- Rank among asset managers
- #1,666 of 3,218
- Rank among all SEC RIAs
- #7,714 of 17,210
- Rank in Illinois
- #358 of 684
- Individual clients
- 430
- High-net-worth clients
- 66
- Accounts
- 1,109
- Discretionary
- 50% of AUM
- Employees
- 7
- Advisory staff
- 5
- Offices
- 4
Custody and brokerage
2 custodians
- Principal Securities$258M50%
- Charles Schwab$255M50%
Other RIAs using Principal SecuritiesOther multi-custodian RIAs
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Pension and profit sharing plans | 1 | $258M | 50% |
| High-net-worth individuals | 66 | $145M | 28% |
| Individuals | 364 | $110M | 21% |
| Corporations or other businesses | 3 | $0M | <1% |
Disciplinary disclosures
Serenity Investment Advisors reports no disciplinary disclosures in Item 11 of Form ADV. 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
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗serenitywm.com ↗
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The full record on Serenity Investment Advisors
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 3 years of filings
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- Growth over one, three and five years
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- Rank against 1,024 peers of its type and size
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- Owners and executives, with titles and stakes
- 1 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
- 1Locked
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Background
Questions
How much does Serenity Investment Advisors manage?
Serenity Investment Advisors reports $514 million in regulatory assets under management across 1,109 accounts, 50% of it on a discretionary basis, on its Form ADV filed May 22, 2026.
What kind of firm is Serenity Investment Advisors?
Serenity Investment Advisors is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals.
Who are Serenity Investment Advisors’s clients?
By assets, its largest client types are pension and profit sharing plans ($258 million, 1 clients); high-net-worth individuals ($145 million, 66 clients); individuals ($110 million, 364 clients).
Does Serenity Investment Advisors have any disciplinary history?
Serenity Investment Advisors reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Serenity Investment Advisors’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 (2026-05-22), 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). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. 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 →