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Seaworthy Investments, LLC (Santa Cruz)


Seaworthy Investments, LLC is an adviser based in Santa Cruz. It manages $8 million of regulatory assets for 6 client accounts. It has been registered with the SEC as an adviser since 2009 and has operated in the jurisdiction of California.

Seaworthy Investments provides portfolio management for individuals and small businesses. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Seaworthy Investments: assets under management

The assets under management (AUM) of Seaworthy Investments, LLC is $8 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -73% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.


The firm manages $8 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.33 million each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Seaworthy Investments, LLC for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Based in Santa Cruz

The principal office where Seaworthy Investments, LLC performs its advisory services is located at 1125 Laurel St., Santa Cruz, CA 95060, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 831-239-2445. The normal business hours are 8:00 - 4:00 on Monday - Friday.


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