SeaCrest Investment Management, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$110,925,319
Total clients
15
0% high-net worth
Total advisors
3
of 3 employees
Firm size
Supported
1-3 advisors or $200M+ in AUM
Average clients per advisor
5
Average account size
$7,395,021
About
SeaCrest Investment Management serves individuals (including high‑net‑worth clients), trusts, estates, charitable organizations, corporations, businesses and insurance company clients. The firm provides discretionary investment management and related advisory services, including portfolio construction and retirement‑account advice using mutual funds, ETFs, individual securities, bonds and options.
The firm’s investment approach is primarily fundamental and generally long‑term, supplemented by model‑driven asset allocation — including a proprietary Global Tactical Asset Allocation model that evaluates nine asset classes — and an Intermediate Government bond strategy. SeaCrest works directly with each client to establish objectives and risk tolerance, actively monitors accounts, and provides periodic reports on holdings, allocations and performance while rebalancing or trading as its analyses dictate.
Notable distinctions include multiple affiliated entities — an insurance agency and an affiliated registered investment advisor — and advisory personnel who also act as registered representatives of a broker‑dealer, arrangements the brochure discloses as potential conflicts of interest when insurance or commissionable products are recommended. The firm also manages a relatively small number of client relationships for its size (roughly $111 million in AUM across about 15 clients) and explicitly discloses use of derivatives/options in client accounts, features that are uncommon among its supported peers.
Client services
Portfolio management
Expertise
Active portfolio management
Options & derivatives strategies
Private / alternative investments
Fee options
0.20% to 1.15% annually (fee varies based on complexity, asset level, and relationship)
Certain advisory persons are registered representatives of a broker-dealer and may earn commissions separately from SIM's advisory fees.
Account minimum: SIM generally does not impose a minimum relationship size for establishing a relationship. However, certain strategies of SIM may require a minimum asset amount to achieve optimal returns, which may be waived at the sole discretion of the Advisor. Fee-only: Investment advisory fees range from 0.20% to 1.15% annually based on assets under management and other factors.
Main office location
SeaCrest Investment Management, LLC
3000 Westchester Avenue, Suite 206
Purchase NY 10577-2524, United States
Number of offices
4
Most active in
SeaCrest Investment Management, LLC has reported serving >5 clients in these states in the last 12 months.
California · Connecticut · Louisiana · Michigan · New York · South Dakota · Texas
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
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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.
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