Seneca Wealth Advisors, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Seneca Wealth Advisors provides discretionary portfolio management and written financial planning primarily for individual clients, including high‑net‑worth individuals, and documents client objectives in individualized Investment Policy Statements. The firm reports a very small client base (two clients) and about $1.35 million in discretionary assets under management.
The adviser combines multiple methods of analysis — including fundamental, quantitative, technical, charting, cyclical analysis and modern portfolio theory — and seeks discretionary trading authority to implement asset allocation and security selection. It uses a wide range of instruments and strategies for client portfolios, including mutual funds, ETFs, equities, fixed income, real estate funds, hedge funds, private equity and venture capital, private placements, options, margin, short sales and cryptocurrency.
Compared with peers, the firm discloses atypical affiliations and activities for a solo independent adviser of this size: its ownership group is linked to accounting and investment businesses, and the firm notes it may co‑invest in or recommend private placements or funds in which it or related parties have financial interests, with client approval required. The firm also requires custody through an institutional custodian (Schwab Institutional) and maintains a written code of ethics and fiduciary policies intended to address the conflicts arising from those affiliated business activities.
Client services
Expertise
Fee options
$0 - $500,000: 1.50% $500,001 - $999,999: 1.35% $1,000,000 - $2,499,999: 1.00% $2,500,000+: 0.90%
Fee-only: Fixed fees for financial planning between $400 and $5,000
Main office
468 Post Rd East, Suite A
Westport CT 06880
Advisors at this office
1
Most active in
Connecticut · North Carolina · Oregon
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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