SEI INVESTMENTS MANAGEMENT CORP of OAKS, PA is an SEC-registered investment adviser (CRD 105146). Regulatory assets under management: $216.4B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed, Performance.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities, Corporations, Investment cos.
Showing 25 of 34 people.
| Name | Role | Location |
|---|---|---|
| Timothy Dean Barto | GENERAL COUNSEL | — |
| Paul Francis Klauder | CHAIRMAN OF THE BOARD | — |
| Michael Neil Peterson | SENIOR VICE PRESIDENT | — |
| Jennifer Hickman Campisi | CHIEF COMPLIANCE OFFICER | — |
| Mark Andrew Warner | TREASURER/CONTROLLER | — |
| Jay John Cipriano | SENIOR VICE PRESIDENT | — |
| Jay C Womack | PRESIDENT | — |
| WEST RICHARD PAUL | CHAIRMAN & CEO | — |
| LOUGHLIN EDWARD DOYLE | EXECUTIVE VICE PRESIDENT; PRESIDENT; PRESIDENT/DIRECTOR (+1 more) | — |
| BARTO TIMOTHY DEAN | GENERAL COUNSEL; GENERAL COUNSEL/INTERIM CHIEF COMPLIANCE OFFICER; GENERAL COUNSEL, VICE PRESIDENT (+1 more) | — |
| BROPHY MICHAEL TIMOTHY | CHIEF COMPLIANCE OFFICER | — |
| DASHER KARL FRANKLIN | CHIEF INVESTMENT OFFICER; CHIEF INVESTMENT OFFICER/DIRECTOR | — |
| UJOBAI JOSEPH PAUL | SENIOR VICE PRESIDENT; VICE PRESIDENT/DIRECTOR | — |
| WITHROW WAYNE MONTGOMERY | PRESIDENT; SENIOR VICE PRESIDENT; VICE PRESIDENT/DIRECTOR | — |
| KLAUDER NORMAN JEFFREY | SENIOR VICE PRESIDENT; VICE PRESIDENT/DIRECTOR | — |
| GUARINO CARL ANTHONY | EXECUTIVE VICE PRESIDENT | — |
| JONES THOMAS D | CHIEF COMPLIANCE OFFICER | — |
| BARR KEVIN PATRICK | PRESIDENT; VICE PRESIDENT | — |
| CAVANAGH STEPHANIE LAURA | CHIEF COMPLIANCE OFFICER; INTERIM CCO | — |
| LIEB RICHARD BRUCE | EXECUTIVE VICE PRESIDENT | — |
| PARRISH CYNTHIA MICHELE | VICE PRESIDENT | — |
| CIPPERMAN TODD BRIAN | GENERAL COUNSEL, SENIOR VICE PRESIDENT | — |
| ROMEO CARMEN VINCENT | EXECUTIVE VICE PRESIDENT | — |
| CIPRIANO JOHN | SENIOR VICE PRESIDENT | — |
| HEILIG KATHY ANN | TREASURER/CONTROLLER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2018-09-28 | civil | GORDON STEVENS, INDIVIDUALLY AND AS THE REPRESENTATIVE OF SIMILARLY SITUATED PERSONS, AND ON BEHALF OF THE SEI CAPITAL ACCUMULATION PLAN (THE "PLAN") FILED A CLASS ACTION COMPLAINT AGAINST THE DEFENDANTS (THE "STEVENS COMPLAINT"). THE STEVENS COMPLIANT SOUGHT UNSPECIFIED DAMAGES FOR DEFENDANTS' ALLE… | Final | $6.8M |
| 2018-04-26 | regulatory | THE SEC'S ORDER FOUND THAT SEI INVESTMENTS GLOBAL FUNDS SERVICES (SGFS) CAUSED AN UNREGISTERED MONEY MARKET FUND FOR WHICH SGFS SERVED AS FUND ACCOUNTANT AND ADMINISTRATOR TO VIOLATE AFFILIATED TRANSACTION RULES WHEN THAT FUND SOLD ITS SHARES TO, AND REDEEMED THEM FROM, A SET OF AFFILIATED MUTUAL FU… | Final | $225K |
| 2013-12-11 | civil | THE CLAIM WAS THAT (I)THE PORTION OF THE FUNDS' ADVISORY FEES RETAINED BY SIMC, RELATIVE TO THE PORTION OF THOSE FEES THAT WERE PAID TO THE SUB-ADVISERS, WERE EXCESSIVE AND (II)THAT THE ADMINISTRATIVE FEES RECEIVED BY THE AFFILIATE WERE EXCESSIVE. THE PLAINTIFFS BROUGHT THE SUIT AGAINST SIMC WITH RE… | Final | — |