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SERENITY CAPITAL ADVISORS INC.

PITTSFORD, NY · CRD 332396 · IAPD ↗ · serenitycapadvisors.com · 1-877-975-3383

$64.3MRegulatory AUM
1Advisory reps
4Employees
0Clients
26-50Planning clients
0Private funds
2States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

64
April 2026 — SERENITY CAPITAL ADVISORS INC. reports 26-50 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
65
April 2026 — SERENITY CAPITAL ADVISORS INC. now reports custody of client assets ($7.6M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
70
January 2026 — SERENITY CAPITAL ADVISORS INC.'s provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
95
December 2025 — SERENITY CAPITAL ADVISORS INC. (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
60
January 2025 — SERENITY CAPITAL ADVISORS INC. (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $0 RAUM, 1 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
95
September 2024 — SERENITY CAPITAL ADVISORS INC. (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.