S
Sursum Financial LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$3,330,944
This total excludes 1 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Total clients
11
27% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
11
Average account size
$302,813
About
Sursum Financial is an independent registered investment adviser that works with individuals (including high-net-worth clients), trusts, estates, business owners, family offices, and other institutional and charitable clients. The firm provides discretionary and non-discretionary asset management, financial planning and consulting, and arranges third-party manager relationships while serving as a liaison for those engagements.
Investment advice is driven by the firm’s proprietary research and typically follows a long-term orientation, though shorter-term trading, option strategies, and third-party manager styles are used when aligned with client objectives. The firm offers performance-based fee arrangements for qualified clients and, in separately managed accounts, may employ derivatives and borrowing — practices that are uncommon among peers in the independent-adviser category.
As a small adviser with limited clients and modest assets under management, the firm’s client mix — including institutional and charitable entities — is atypical for firms of this size. The firm’s principal also conducts unrelated business consulting work and the adviser receives referral fees from third-party managers; these relationships and potential conflicts are disclosed and addressed in its policies.
Client services
Financial planning
Portfolio management
Selection of other advisers
Expertise
Wealth management
Active portfolio management
Options & derivatives strategies
Tax-loss harvesting
Retirement plans for business owners (SEP, solo 401k)
Occupation focus
Founder/Business Owner
Executive
Fee options
$1,000 to $15,000 for financial planning services, based on complexity and client needs
0.50% to 1.50% annually, based on several factors including assets under management and complexity
$250 per hour for financial planning services
10% to 30% of investment gains annually for qualified clients with at least $1,100,000 under management or $2,200,000 net worth, subject to high-water mark and 5% hurdle rate
Account minimum: $1,000,000
Main office location
Sursum Financial LLC
Madison CT, United States
Number of offices
1
Most active in
Sursum Financial LLC has reported serving >5 clients in these states in the last 12 months.
Connecticut
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 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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