SEIA
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SEIA
(CRD# 108163)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Los Angeles, CA.
The SEC approved the firm to operate as an RIA in
Feb 1999.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$6.2 Billion,
with discretion over
13%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
.
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SEIA
also reported in
Mar 2019
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85
employees,
with
30
performing advisory functions.
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A total of 7 office locations.
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No registrations with foreign financial regulatory authorities.
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NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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SEIA has no disclosure events reported to the SEC at this time.
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SEIA has Notice Filings with the following State Securities Authorities:
AK-Mar 2019, AL-Jan 2018, AR-Mar 2019, AZ-Dec 2003, CA- CO-Dec 2004, CT-Jan 2018, DC-Jan 2005, DE-Jan 2018, FL-<
, GA-Jan 2018, HI-Jul 2009, IA-Mar 2019, ID-Sep 2011, IL-<
, IN-Oct 2010, KS-Jan 2018, KY-Jan 2018, LA-Sep 2015, MA-<
, MD-Nov 2003, ME-Mar 2019, MI-Jan 2018, MN-Nov 2014, MO-<
, MS-Mar 2016, MT-Nov 2004, NC-Sep 2011, ND-Mar 2019, NE-<
, NH-Mar 2012, NJ-Jun 2008, NM-Dec 2008, NV-Aug 2006, NY-<
, OH-Jan 2011, OK-Mar 2019, OR-Oct 2007, PA-Jan 2011, PR-<
, RI-Mar 2019, SC-Mar 2015, SD-Mar 2019, TN-Jan 2018, TX-<
, UT-Sep 2011, VA-Apr 2001, VT-Jan 2017, WA-Oct 2007, WI-<
, WV-Mar 2019, WY-Mar 2019
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Disclaimer:
The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
that we are aware of many instances where
RIAs provided erroneous data to the
SEC. Feel free to contact
FindingFraud.org with questions or concerns.
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