Seterios Wealth Advisors, LLC

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Client assets under management

$2,743,854

Clients

100% high-net worth

Advisors

of 3 employees

Firm type

Supported

1-3 advisors or $200M+ in AUM

Clients per advisor

Very Low

Average account size

$1,371,927

About

SETERIOS Wealth Advisors LLC provides discretionary portfolio and investment management exclusively to “Qualified Clients,” including high‑net‑worth individuals, families, trusts, estates, charitable organizations, and corporations, and does not offer financial planning services. The firm operates as a small boutique with three advisors and manages approximately $2.74 million in discretionary assets for a very limited client base.

The firm’s investment approach emphasizes active management of the aggressive and aggressive‑growth portions of client portfolios and a focused passive‑income sleeve, using fundamental and technical analysis to construct diversified allocations of mutual funds, ETFs, and individual equities. Portfolio implementation may include margin, short sales, and option strategies (including covered calls), and positions are generally long‑term but can be reallocated tactically in response to market conditions.

Distinctive features compared with peers include a compensation model that relies solely on performance‑based fees rather than a percentage‑of‑AUM fee structure and a strict focus on Qualified Clients rather than retail individual clients. The adviser also recommends Interactive Brokers as custodian, may participate in soft‑dollar arrangements, and manages a very small number of client accounts relative to most supported firms.

Client services

Portfolio management

Expertise

Active portfolio management Tax-loss harvesting Private / alternative investments Concentrated stock management

Occupation focus

Executive

Fee options

Performance-based

20% quarterly performance-based fee on cumulative net investment gains above the high-water mark, paid in arrears.

Other

Account minimum: $1,000,000

Main office location

Seterios Wealth Advisors, LLC

Lexington KY, United States

Number of offices

Most active in

Florida · Kentucky

Disclosures

Business activities & affiliations

Is not active or affiliated with:

Insurance agent

They sell insurance products and may earn commissions on those sales.

Broker-dealer / trader

They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.

Bank

They're affiliated with a bank that may offer its own financial products and services.

Trust company

They provide trust and estate administration services, typically for separate fees.

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.

Lawyer

They provide legal services, typically billed separately.

Real estate agent

They facilitate real estate transactions and may earn commissions.

Other specialized services

They may provide services such as pension consulting or municipal advisory work, typically for separate fees.

Forms ADV

Form ADV Part 2: Client Brochure

Quick links

Website 9417447993

Advisors at this firm

James C

Series 65

Lexington, KY

Seterios Wealth Advisors, LLC

James Cooper is a Series 65-licensed advisor with three years of experience at Seterios Wealth Advisors, LLC. He previously worked for seven years at The LIMA-COOPER Group, Coldwell Banker, and operated James Cooper & Company for 37 years. Seterios Wealth Advisors LLC is a boutique firm serving high-net-worth individuals, families, trusts, estates, charitable organizations, and corporations. The firm focuses on discretionary portfolio and investment management with an active approach to aggressive-growth portfolios and a passive-income component, using fundamental and technical analysis to construct diversified allocations.

Active portfolio management Tax-loss harvesting Private / alternative investments Concentrated stock management Executive

Karen L

Series 65

Lexington, KY

Seterios Wealth Advisors, LLC

Karen Lima is a financial advisor at Seterios Wealth Advisors, LLC with three years of industry experience. She holds a Series 65 designation and has previously worked at The LIMA-COOPER Group, Coldwell Banker, and SMR, Inc. Seterios Wealth Advisors LLC provides discretionary portfolio and investment management exclusively to high-net-worth clients, including individuals, families, trusts, estates, charitable organizations, and corporations. The firm employs an active management approach combined with a focused passive-income sleeve, using both fundamental and technical analysis to construct diversified portfolios.

Active portfolio management Tax-loss harvesting Private / alternative investments Concentrated stock management Executive

Adam B

Series 65

Lexington, KY

Seterios Wealth Advisors, LLC

Adam Burmeister is a financial advisor with Seterios Wealth Advisors, LLC, holding a Series 65 designation and three years of industry experience. He has worked at Seterios Wealth Advisors since 2021 and previously held roles at Vengroff-Williams, Inc. and Benefit Solutions, LLC. Seterios Wealth Advisors LLC provides discretionary portfolio and investment management exclusively to high-net-worth qualified clients, including individuals, families, trusts, and charitable organizations. The firm employs an active management approach for aggressive growth segments and a passive-income focus, utilizing fundamental and technical analysis to build diversified portfolios.

Active portfolio management Tax-loss harvesting Private / alternative investments Concentrated stock management Executive

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