Daniel W. Seo

CAERUS INVESTMENT ADVISORS

Pacific Palisades, CA

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CRD#: 4240323

Professional summary

Daniel Won Seo, who also goes by Daniel W Seo, is a registered financial advisor currently at CAERUS INVESTMENT ADVISORS, LLC located in Pacific Palisades, California.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Daniel has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Daniel W Seo

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

BIPACIFIC PARTNERS (MANAGING PARTNER) 16882 Charmel Lane, Pacific Palisades, CA 90272 CONSULTING-GIVE ADVICE ON HOW TO STRUCTURE AND WHO TO TALK TO RELATED TO PRIVATE DEALS SUCH AS REAL ESTATE;INVESTMENT RELATED; SINCE MARCH 2013;10-15 HOURS/MONTH;NO TIME DURING TRADING HOURS;MAIN DUTY IS CONNECTING THE RIGHT PARTIES. MODERN GLOBAL SOURCING not investment related; 54 Laguna Terrace, Palm Beach Gardens, FL 33418; Distribution; Co-CEO; 06/20; 60 hours/month; 40 hours ; Relationship Management & Business Development MODERN NITRILE not investment related; 3401 Bearfree Circle, Austin, TX 78730; Manufacturing; Co-Founder; 04/2021; 30 hours/month; 40 hours; Relationship Management & Business Development

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Won Seo's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 21, 2021 - Present

CAERUS INVESTMENT ADVISORS, LLC

RIA

CRD#: 171716

Pacific Palisades, CA

Past

November 25, 2013 - April 4, 2019

CHECCHI CAPITAL ADVISERS, LLC

RIA

CRD#: 143478

BEVERLY HILLS, CA

Past

November 20, 2013 - March 29, 2019

ARBOR COURT CAPITAL, LLC

CRD#: 143839

BROADVIEW HEIGHTS, OH

Past

June 24, 2009 - July 13, 2012

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

LOS ANGELES, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CAERUS INVESTMENT ADVISORS, LLC

CRD#: 171716 / SEC#: 801-110401

RIA

Registered Investment Advisory firm - (4/13/2017 Approved)

California

Registered Investment Advisory firm - (5/24/2017 Terminated)

New York

Registered Investment Advisory firm - (4/24/2017 Terminated)

Texas

Registered Investment Advisory firm - (4/24/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(12/21/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/20/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/26/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/23/2009

General Securities Representative Examination

Current Firm

CAERUS INVESTMENT ADVISORS, LLC

CRD#: 171716 / SEC#: 801-110401

RIA

Registered Investment Advisory firm - (4/13/2017 Approved)

California

Registered Investment Advisory firm - (5/24/2017 Terminated)

New York

Registered Investment Advisory firm - (4/24/2017 Terminated)

Texas

Registered Investment Advisory firm - (4/24/2017 Terminated)

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Contact information

Main Address

West Lake Hills, TX

Mailing Address

Phone number

(650) 906-7666

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (6/10/2025)

FORM ADV PART 2A APPENDIX 1 - WRAP FEE PROGRAM BROCHURE (6/10/2025)

Regulatory assets under management

Total Number of Accounts	127
AUM (Assets Under Management)	$ 194,550,948

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Daniel W. Seo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Won Seo's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHECCHI CAPITAL ADVISERS, LLC

ARBOR COURT CAPITAL, LLC

SANFORD C. BERNSTEIN & CO., LLC

Primary Firm SEC Registration

CAERUS INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/20/2021

Series 63

Date: 6/26/2009

SIE

Date: 10/1/2018

Series 7

Date: 6/23/2009

Current Firm

CAERUS INVESTMENT ADVISORS, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAERUS INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

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