Seros Financial, LLC

Registered adviser

CIK

2039918

Location

TEMPE, AZ

Portfolio Value

Small $148,639,578

Diversification

Diversified

Filing Date

Global Rank

#6,570 / 8,814 ▲ 210 · as of Jun 2026

Top Industry

Asset Management 17.0%

Period ended 22 days ago

Filed Oct 21, 2026 · 1d

8 quarters · since Dec 2024

Regulatory profile

From Form ADV, the SEC filer profile, 13D/13G type codes and N-CEN, never from the name.

Holder type

Registered adviser

Form ADV roster, Oct 1, 2026

Form ADV adviser

CRD 166808

Roster of Oct 1, 2026

Regulatory AUM

$359,182,480

Main clients

Individuals and high net worth (95% of AUM)

Form ADV history

Monthly rosters from Dec 2019; each row is a run with the same figures, newest first.

Rosters	Regulatory AUM	Main clients
Apr 2026 to Oct 2026	$359,182,480	Individuals and high net worth (95%)
Apr 2025 to Mar 2026	$301,058,504	Individuals and high net worth (93%)
Apr 2024 to Mar 2025	$260,841,497	Individuals and high net worth (93%)
May 2023 to Mar 2024	$187,467,128	Individuals and high net worth (97%)
Mar 2023 to Apr 2023	$187,467,128	Individuals and high net worth (97%)
Mar 2022 to Feb 2023	$166,752,002	Individuals and high net worth (98%)

1 earlier changes not shown.

Portfolio style

Measured from the filed 13F common-share book for Jun 30, 2026, the newest measured quarter, never from the firm's own description.

Style

Concentrated

The top 10 positions are 84.4% of the book (60%+)

Turnover

Medium turnover

43.4% over the last four quarters (30% to under 100%)

Horizon

Medium horizon

Value-weighted holding period 5.6 quarters (4 to under 12)

Closest benchmark: every 13F filer's combined book, active share 92.0%; sector active share 72.1% against the combined 13F book's sector weights.

Over time 7 measured quarters

How the bands are measured

Style bands measure the filed 13F common-share book each closed quarter, tested in this order. Unknown: under $10,000,000 of valued equity or 5 stocks. Index-like (100+ stocks): active share of 20% or less against the closest benchmark, which is the S&P 500, S&P MidCap 400, S&P SmallCap 600, Russell 1000, Russell 2000, Nasdaq-100 or Dow Jones Industrial Average (weighted by an index-tracking fund's reported holdings or the index's constituents nearest the quarter end, over the names resolved to companies, and only when those are 90%+ of its weight) or every 13F filer's combined book, or index series holding 80%+ of the registered fund assets it advises (N-CEN) and equal to 50%+ of its book. Systematic-like: 500+ stocks, 100%+ annual turnover and a top 10 weight of 25% or less. Concentrated: a top 10 weight of 60%+ or 12 or fewer effective positions. Diversified active: none of these. Turnover is the smaller of buys and sells over average equity value, summed over four quarters: low under 30%, high 100%+. Horizon is the value-weighted number of quarters each position has been held: short under 4, long 12+.

Clone Performance

Build a hypothetical price-return history from this filer's public 13F holdings.

View clone backtest

Portfolio Concentration

67 tracked positions · as of Sep 30, 2026 · Δ vs Jun 30, 2026

Top Position

14.8%

−2.0 pts

Top 5

62.1%

+1.3 pts

Top 10

84.1%

−0.3 pts

HHI

916

Diversified+3

Portfolio Trend

8 quarters · across all stocks

Sector Breakdown

As of Sep 30, 2026

Sector	% Portfolio	Value	Positions
Unclassified	89.0%	$132,347,612	37
Technology	4.2%	$6,205,948	9
Financial Services	2.6%	$3,804,666	8
Industrials	2.2%	$3,297,880	4
Consumer Cyclical	0.9%	$1,277,061	2
Healthcare	0.5%	$727,379	3
Communication Services	0.4%	$645,216	2
Consumer Defensive	0.2%	$271,281	1
Utilities	0.0%	$62,535	1

Last Quarter's Activity

Export CSV

Sep 30, 2026 vs Jun 30, 2026

Added To

Positions the filer increased

25 positions

Ticker	Company	Δ Shares	Shares	Value
AVLV	Avantis U.S. Large Cap Value ETF	+103,612	212,685	$19,235,231
LVHI	Franklin International Low Volatility High Dividend Index ETF	+60,943	336,070	$14,017,479
FPE	First Trust Preferred Securities and Income ETF	+55,770	611,026	$10,417,993
SCHX	Schwab U.S. Large-Cap ETF	+43,623	230,291	$6,908,730
SCHF	Schwab International Equity ETF	+19,358	493,254	$13,549,687
PHYL	PGIM Active High Yield Bond ETF	+16,009	83,002	$2,774,756
XSMO	Victory Portfolios II	+14,112	188,783	$0
BUFQ	FT Vest Laddered Nasdaq Buffer ETF	+10,388	287,456	$11,647,717
BUFR	FT Vest Laddered Buffer ETF	+8,980	274,418	$10,282,442
SHYL	Xtrackers Short Duration High Yield Bond ETF	+8,961	119,542	$5,134,328
BUFF		+4,965	100,346	$5,406,642
BND	VANGUARD TOTAL BOND MARKET INDEX FUND	+4,865	62,477	$4,382,761
CRWD	CrowdStrike Holdings, Inc.	+3,336	4,453	$1,178,931
SPMO	Invesco Ltd.	+1,226	179,169	$0
BUFB		+677	49,865	$2,008,711
PSEP		+530	5,126	$240,204
AVGO	Broadcom Inc.	+231	1,101	$386,660
SMH	VanEck Semiconductor ETF	+134	2,919	$1,777,671
MSFT	Microsoft Corp	+112	2,078	$1,065,806
AAPL	Apple Inc.	+92	4,633	$1,542,881
QQQM	Invesco Ltd.	+91	7,774	$0
—		+56	3,882	$0
SPY	Spdr S&P 500 ETF Trust	+51	2,107	$1,606,861
ABBV	AbbVie Inc.	+47	1,184	$309,722
IVV	iShares Core S&P 500 ETF	+45	329	$251,964
No positions match the current search.

Trimmed

Positions the filer reduced

21 positions

Ticker	Company	Δ Shares	Shares	Value
BIV	Vanguard Bond Index Funds	−4,740	11,490	$837,161
PFFA	Virtus InfraCap U.S. Preferred Stock ETF	−3,330	17,866	$352,853
QQQ	Invesco Qqq Trust, Series 1	−2,272	22,616	$16,730,638
PFEB		−1,846	9,459	$416,668
TSLA	Tesla, Inc.	−1,079	709	$251,560
POCT		−748	5,535	$265,071
BJUL		−648	5,677	$314,618
SPYI	NEOS S&P 500(R) High Income ETF	−647	9,943	$528,669
NJUL		−468	4,641	$364,921
VRSK	Verisk Analytics, Inc.	−332	2,222	$372,962
BRK-B	Berkshire Hathaway Inc	−177	1,368	$681,195
BAC	Bank Of America Corp	−112	6,629	$360,816
IVE	iShares S&P 500 Value ETF	−100	1,563	$356,801
IWM	iShares Russell 2000 ETF	−87	816	$226,758
NVDA	Nvidia Corp	−66	3,840	$876,979
JNJ	Johnson & Johnson	−40	815	$215,763
AMZN	Amazon Com Inc	−38	4,116	$1,025,501
UNH	Unitedhealth Group Inc	−19	550	$201,894
IVW	iShares S&P 500 Growth ETF	−19	2,073	$294,904
SPHB	Invesco Ltd.	−16	5,991	$0
MSI	Motorola Solutions, Inc.	−10	511	$227,890
No positions match the current search.

New Positions

Positions the filer opened this quarter

9 positions

Ticker	Company	Shares	Value
PHYS	Sprott Physical Gold Trust	70,025	$2,189,681
VOO	VANGUARD 500 INDEX FUND	1,108	$776,552
PSLV	Sprott Physical Silver Trust	23,209	$449,558
SPCX	Space Exploration Technologies Corp	2,831	$427,084
META	Meta Platforms, Inc.	355	$257,438
VEA	Vanguard FTSE Developed Markets ETF	3,594	$253,772
PSEC	Prospect Capital Corp	59,335	$123,416
—		3,155	$0
SOXX	iShares Semiconductor ETF	585	$0
No positions match the current search.

Sold Out

Positions the filer fully exited

8 positions

Ticker	Company	Shares	Value
XLG	Victory Portfolios II	176,305	$10,795,155
HYBI	NEOS Enhanced Income Credit Select ETF	8,129	$400,336
EEM	iShares MSCI Emerging Markets ETF	4,523	$309,418
INTC	Intel Corp	1,569	$219,079
CAT	Caterpillar Inc	201	$214,044
RWK	Invesco Ltd.	1,391	$203,447
CMCT	Creative Media & Community Trust Corp	16,280	$52,910
PRPL	Purple Innovation, Inc.	10,000	$3,570
No positions match the current search.

Portfolio Positions

Compact Export CSV View 13F filing

67 tracked positions · $148,639,578 total · filing declares 68 positions · $196,891,235 · as of Sep 30, 2026

All sectors Communication Services Consumer Cyclical Consumer Defensive Financial Services Healthcare Industrials Technology Utilities

Showing 1–50 of 67 positions by value · page 1 of 2

Ticker	Company	Type	Shares	Δ Shares	Value (USD)	% Δ Value	% of Portfolio
AVLV	Avantis U.S. Large Cap Value ETF	Added	212,685	+103,612	$19,235,231	+93.3%	12.94%
QQQ	Invesco Qqq Trust, Series 1	Reduced	22,616	-2,272	$16,730,638	−8.7%	11.26%
LVHI	Franklin International Low Volatility High Dividend Index ETF	Added	336,070	+60,943	$14,017,479	+25.5%	9.43%
SCHF	Schwab International Equity ETF	Added	493,254	+19,358	$13,549,687	+3.2%	9.12%
BUFQ	FT Vest Laddered Nasdaq Buffer ETF	Added	287,456	+10,388	$11,647,717	+7.1%	7.84%
FPE	First Trust Preferred Securities and Income ETF	Added	611,026	+55,770	$10,417,993	+4.9%	7.01%
BUFR	FT Vest Laddered Buffer ETF	Added	274,418	+8,980	$10,282,442	+6.0%	6.92%
SCHX	Schwab U.S. Large-Cap ETF	Added	230,291	+43,623	$6,908,730	+25.8%	4.65%
BUFF		Added	100,346	+4,965	$5,406,642	+7.6%	3.64%
SHYL	Xtrackers Short Duration High Yield Bond ETF	Added	119,542	+8,961	$5,134,328	+4.5%	3.45%
BND	VANGUARD TOTAL BOND MARKET INDEX FUND	Added	62,477	+4,865	$4,382,761	+3.6%	2.95%
PHYL	PGIM Active High Yield Bond ETF	Added	83,002	+16,009	$2,774,756	+18.7%	1.87%
PHYS	Sprott Physical Gold Trust Financial Services	NEW	70,025	NEW	$2,189,681	NEW	1.47%
BUFB		Added	49,865	+677	$2,008,711	+3.9%	1.35%
SMH	VanEck Semiconductor ETF	Added	2,919	+134	$1,777,671	−2.7%	1.20%
SPY	Spdr S&P 500 ETF Trust	Added	2,107	+51	$1,606,861	+4.7%	1.08%
AAPL	Apple Inc. Technology	Added	4,633	+92	$1,542,881	+17.4%	1.04%
ORN	Orion Group Holdings Inc Industrials	Held	168,704	0	$1,442,419	−49.2%	0.97%
CRWD	CrowdStrike Holdings, Inc. Technology	Added	4,453	+3,336	$1,178,931	+38.3%	0.79%
MSFT	Microsoft Corp Technology	Added	2,078	+112	$1,065,806	+45.3%	0.72%
JCI	Johnson Controls International plc Industrials	Held	7,100	0	$1,055,415	+1.7%	0.71%
AMZN	Amazon Com Inc Consumer Cyclical	Reduced	4,116	-38	$1,025,501	+3.6%	0.69%
NVDA	Nvidia Corp Technology	Reduced	3,840	-66	$876,979	+12.2%	0.59%
BIV	Vanguard Bond Index Funds	Reduced	11,490	-4,740	$837,161	−32.7%	0.56%
VOO	VANGUARD 500 INDEX FUND	NEW	1,108	NEW	$776,552	NEW	0.52%
BRK-B	Berkshire Hathaway Inc Financial Services	Reduced	1,368	-177	$681,195	−11.9%	0.46%
SPYI	NEOS S&P 500(R) High Income ETF	Reduced	9,943	-647	$528,669	−6.0%	0.36%
PSLV	Sprott Physical Silver Trust Financial Services	NEW	23,209	NEW	$449,558	NEW	0.30%
SPCX	Space Exploration Technologies Corp Industrials	NEW	2,831	NEW	$427,084	NEW	0.29%
PFEB		Reduced	9,459	-1,846	$416,668	−14.4%	0.28%
GOOGL	Alphabet Inc. Communication Services	Added	1,127	+30	$387,778	−1.1%	0.26%
AVGO	Broadcom Inc. Technology	Added	1,101	+231	$386,660	+17.7%	0.26%
VRSK	Verisk Analytics, Inc. Industrials	Reduced	2,222	-332	$372,962	−18.7%	0.25%
NJUL		Reduced	4,641	-468	$364,921	−7.8%	0.25%
BAC	Bank Of America Corp Financial Services	Reduced	6,629	-112	$360,816	−6.1%	0.24%
IVE	iShares S&P 500 Value ETF	Reduced	1,563	-100	$356,801	−5.5%	0.24%
PFFA	Virtus InfraCap U.S. Preferred Stock ETF	Reduced	17,866	-3,330	$352,853	−19.1%	0.24%
SHOP	Shopify Inc. Technology	Held	2,361	0	$350,136	+29.9%	0.24%
AMD	Advanced Micro Devices Inc Technology	Held	556	0	$340,138	+5.3%	0.23%
BJUL		Reduced	5,677	-648	$314,618	−8.4%	0.21%
ABBV	AbbVie Inc. Healthcare	Added	1,184	+47	$309,722	+8.3%	0.21%
PAPR		Held	7,100	0	$306,578	+2.3%	0.21%
IVW	iShares S&P 500 Growth ETF	Reduced	2,073	-19	$294,904	+2.5%	0.20%
COST	Costco Wholesale Corp Consumer Defensive	Added	298	+5	$271,281	−1.0%	0.18%
POCT		Reduced	5,535	-748	$265,071	−9.1%	0.18%
META	Meta Platforms, Inc. Communication Services	NEW	355	NEW	$257,438	NEW	0.17%
VEA	Vanguard FTSE Developed Markets ETF	NEW	3,594	NEW	$253,772	NEW	0.17%
IVV	iShares Core S&P 500 ETF	Added	329	+45	$251,964	+18.5%	0.17%
TSLA	Tesla, Inc. Consumer Cyclical	Reduced	709	-1,079	$251,560	−66.5%	0.17%
PSEP		Added	5,126	+530	$240,204	+13.5%	0.16%

Showing the top 50 of 67 positions. Create a free account to see every position, past quarters, search, filters and CSV export.

Covers the securities this platform tracks: U.S.-listed common stock and the put/call positions reported on it. A 13F can also report security types outside that coverage — preferred shares, bonds, warrants, untracked share classes — so the filing's own declared total can exceed the figures above. The source filing is linked at the top of this table.