Seacap Advisors, LLC

SeaCap Advisors is an independent, state-registered investment adviser that serves individual investors (including high-net-worth individuals), pension and profit-sharing plans, trusts, estates, charitable organizations and corporations. The firm provides discretionary asset management and financial planning, constructing portfolios intended to align with each client’s stated goals and risk tolerance.

The adviser customizes portfolios using a mix of analytical approaches — including charting, fundamental, technical and cyclical analysis — and implements a range of strategies such as long- and short-term positions, short sales and options contracts. Accounts are typically managed on a discretionary basis with ongoing rebalancing and periodic reviews, and the firm coordinates planning work with clients’ other professional advisors when appropriate.

A noteworthy and relatively uncommon feature disclosed in the brochure is that the firm may offer performance-based fee arrangements to qualified clients, which differs from the standard percentage-of-AUM model used by most peers. The firm also operates with a small client base relative to its assets under management, uses active trading strategies (including options and short sales), and documents custodial and compliance practices (including a written Code of Ethics and ongoing monitoring) that it applies across its advisory relationships.