Sequel Capital Management, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Sequel Capital Management is a newly formed registered investment adviser that offers discretionary investment management, wealth-management services, and standalone financial planning to individuals, high-net-worth clients, trusts and estates. The firm’s services include portfolio management for individual and retirement accounts and it discloses a wrap fee program that bundles securities transaction costs into its asset‑based wealth management fee.
The firm describes a primarily long‑term, customized approach that uses both fundamental and technical analysis to build portfolios of individual stocks and bonds, mutual funds, ETFs and options, and it will retain legacy holdings when appropriate for tax or fit reasons. Clients are engaged through a formal agreement that sets investment objectives and permissible restrictions, and the adviser positions itself as a fiduciary with a written Code of Ethics and customary referral relationships with specialists when needed.
What is notable relative to peers in this regulatory category is that the firm sponsors a wrap fee program and explicitly offers financial planning and direct portfolio management for individuals—features that are statistically uncommon among firms without active SEC‑registered advisors. The firm also states it does not manage private funds or charge performance fees, operates on an institutional custodian platform, and reports no assets under management in its initial filing.
Client services
Expertise
Fee options
$0 - $500,000: 1.00% $500,001 - $1,000,000: 0.90% $1,000,001 - $5,000,000: 0.80% $5,000,001+: 0.60%
Fee-only: Wealth management fees are charged based on a blended tiered schedule as detailed; no commissions are charged.
Main office
Scottsdale AZ
Advisors at this office
1
Most active in
Arizona
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
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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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting 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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