# Serenity Investment Advisors

Serenity Investment Advisors is a Bank / Wealth / Trust based in Chicago, United States.

## Overview

- **Organization type:** Bank / Wealth / Trust
- **Headquarters:** Chicago, United States
- **Region:** North America
- **Address:** Chicago, IL, United States
- **Founded:** 2020
- **Assets under management:** Undisclosed
- **Website:** serenitywm.com
- **LinkedIn:** https://www.linkedin.com/company/serenity-wealth-management-llc

## Regulatory record

- **CRD number:** 307924
- **SEC file number:** 801-123727
- **Registration status:** APPROVED
- **Latest Form ADV filing:** 2026-05-22T05:00:00.000Z
- **Reports private funds:** No
- **Private funds reported:** 0
- **IAPD record:** https://adviserinfo.sec.gov/firm/summary/307924

## About

Serenity Investment Advisors launched in Chicago in 2020, founded by Richard Little as an RIA structured around a single constraint: every advisor must hold the CFP designation. The firm targeted a gap Little observed during client consolidation work — families emerging from a parent’s death or a liquidity event often owned scattered accounts with no unifying plan — and built its intake around the promise that anything with a dollar sign attached gets mapped. The strategy runs across taxable brokerage, retirement accounts, education-funding vehicles such as 529 plans, and equity compensation including RSUs and ISOs. The firm does not commit to a single asset-class tilt; its process opens with goal identification and risk-tolerance quantification before investments are discussed, and it coordinates with outside CPAs and attorneys on tax and estate execution. No private-market positions, direct-deal pipelines, or fund-of-funds structures are disclosed — the investment posture stays within publicly traded securities and cash-flow planning, with the portfolio managed as an allocated pool rather than a series of one-off bets. The practice serves individuals, trusts, and corporations, with a visible concentration among HENRYs — high earners not rich yet — and business owners managing simultaneous personal and company finances. Headcount and AUM are not published, but the firm states it has earned a spot on AdvisorHub’s “Top RIAs to Watch” for three consecutive years, with the June 2025 listing marking the most recent renewal. The 2025 Forbes Best-in-State ranking, researched by SHOOK Research using data as of March 2025, covers advisors under approximately age 40, placing the firm’s operator squarely in the next-gen cohort. Structurally, Serenity operates as a boutique RIA with no adjacent vehicles, no disclosed institutional limited partners, and no family-office charter — yet the bundled CFP-fiduciary-plus-coordination mandate creates an architecture that competes with multi-family-office planning layers at a smaller asset threshold. The differentiator is the refusal to separate investment advice from tax preparation or estate mapping: the firm includes those services for qualifying clients at no additional fee, absorbing coordination cost to eliminate referral handoffs. Succession planning is not publicly addressed.

## People

- Richard Little — Founder

## Questions

### Does Serenity Investment Advisors invest in private markets or alternative assets?

No private-market or alternative-investment activity is disclosed. The documented service set — investment management, retirement planning, tax guidance, estate planning, college planning, and RSU/ISO strategies — points entirely to public-market securities and cash-flow-based planning.

### What investment stages or asset classes does the firm target?

The firm applies a goals-driven rather than asset-class-driven approach. It constructs portfolios from publicly traded securities across equity and fixed income, paired with tax-aware withdrawal and contribution sequencing across taxable, retirement, and education-savings accounts. No concentration in specific sectors, private stages, or thematic exposures is claimed.

### How is Serenity Investment Advisors compensated?

The firm operates on a fee-only RIA model. It explicitly states that tax-planning and estate-planning coordination with outside CPAs and attorneys are provided at no additional cost for qualifying clients, absorbing those expenses into the advisory fee rather than charging separate planning retainers.

### Does Serenity Investment Advisors have a succession plan or continuity structure?

No succession plan, continuity agreement, or next-generation leadership structure is publicly disclosed. All client-facing materials and third-party rankings reference Richard Little individually, making the current model reliant on a single operator.

## Related profiles

- [Serenia Life Financial](https://altss.com/profile/serenia-life-financial)
- [Serenitys Patrimoine](https://altss.com/profile/serenitys-patrimoine)

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Last updated: 2026-08-11T02:43:31.692Z

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