Data / Investment advisers / Colorado / Seneca Capital Management, LLC
Seneca Capital Management, LLC, Denver, CO: $120 million AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
Seneca Capital Management, LLC is an SEC registered investment adviser with its main office in Denver, Colorado and reports $120 million in regulatory assets under management in its Form ADV filed March 23, 2026. Its clients include pooled investment vehicles. It is paid through a percentage of assets under management and performance based fees. It advises 1 private fund.
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- Registration
- SEC registered investment adviser
- CRD number
- 288206
- SEC file number
- 801-121186
- SEC status
- Approved, effective May 11, 2021
- Main office
- 2115 South Birch Street, Denver, CO 80222
- Phone
- (303) 888-2826
- Regulatory AUM
- $120,000,000 in the Form ADV filed March 23, 2026
- Discretionary AUM
- $120,000,000
- Accounts
- 2
- Employees
- 1, of which 1 give investment advice
- Form of organization
- Limited Liability Company
- Paid through
- a percentage of assets under management, performance based fees
- Private funds
- 1: 1 real estate fund
- Gross assets of private funds
- $120,000,000
- Umbrella registration
- 1 relying advisers
- Form ADV Item 11 disclosures
- None reported
- Latest Form ADV filing
- March 23, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| Pooled investment vehicles | 2 | $120 million |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| April 1, 2026 | $120 million | March 23, 2026 |
| December 1, 2025 | $109.4 million | May 5, 2025 |
Other advisers in Denver
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Protocol Wealth, LLC | Denver | $153.2 million | Not listed | adviserinfo.sec.gov |
| Horizon Wealth | Denver | $147.2 million | Not listed | adviserinfo.sec.gov |
| Agemy Wealth Advisors, LLC | Denver | $130.5 million | Not listed | adviserinfo.sec.gov |
| Peterson Financial Services LLC | Denver | $124 million | Not listed | adviserinfo.sec.gov |
| Ascentris | Denver | $121.8 million | 2 | adviserinfo.sec.gov |
| Walnut Level Capital LLC | Denver | $119.2 million | 1 | adviserinfo.sec.gov |
| Noble Wealth Partners | Denver | $118.5 million | Not listed | adviserinfo.sec.gov |
| Wealth Engineers, LLC | Denver | $117.6 million | Not listed | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Denver, CO
- Investment advisers in Colorado
- Advisers with $100 million to $500 million in AUM
- Advisers serving pooled investment vehicles
- Advisers that manage private funds
- Seneca Capital Management, LLC on the SEC's adviser search
Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.