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SERONE CAPITAL MANAGEMENT LLC

NEW YORK, NY · CRD 338114 · IAPD ↗ · 1-646-781-7394

$116.1MRegulatory AUM
2Advisory reps
3Employees
0Clients
n/aPlanning clients
0Private funds
0States
0Disclosures
institutionalSegment
ApprovedSEC status

Filing changes

60
June 2026 — SERONE CAPITAL MANAGEMENT LLC's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
85
February 2026 — SERONE CAPITAL MANAGEMENT LLC (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 2 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.