Thomas P. Dalpiaz

SEELAUS ASSET MANAGEMENT

BAY SHORE, NY

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CRD#: 1827380

Professional summary

Thomas Paul Dalpiaz is a registered financial advisor currently at SEELAUS ASSET MANAGEMENT, LLC located in Bay Shore, New York and R. SEELAUS & CO., LLC located in Chatham, New Jersey.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Thomas has worked at 5 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Paul Dalpiaz'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

October 16, 2013 - Present

SEELAUS ASSET MANAGEMENT, LLC

RIA

CRD#: 149582

BAY SHORE, NY

Current

February 10, 2015 - Present

R. SEELAUS & CO., LLC

Office #1: 26 Main Street Suite 300, Chatham, NJ 07928

CRD#: 14974

Chatham, NJ

Past

November 7, 2006 - September 18, 2013

ADVISORS ASSET MANAGEMENT, INC.

RIA

CRD#: 46727

MELVILLE, NY

Past

May 1, 2006 - September 18, 2013

ADVISORS ASSET MANAGEMENT, INC.

CRD#: 46727

MELVILLE, NY

Past

November 12, 2004 - February 21, 2006

NEUBERGER BERMAN BD LLC

CRD#: 2908

NEW YORK, NY

Past

September 20, 1988 - July 2, 2002

BOSTON PARTNERS SECURITIES, L.L.C.

CRD#: 2998

BOSTON, MA

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".

SEELAUS ASSET MANAGEMENT, LLC

GRANITE SPRINGS ASSET MANAGEMENT, LLC | SUNNYMEATH ASSET MANAGEMENT, INC | SEELAUS ASSET MANAGEMENT, LLC | NAME 806

CRD#: 149582 / SEC#: 801-77641

RIA

Registered Investment Advisory firm - (2/15/2013 Approved)

New Jersey

Registered Investment Advisory firm - (3/28/2013 Terminated)

New York

Registered Investment Advisory firm - (3/28/2013 Terminated)

South Carolina

Registered Investment Advisory firm - (3/28/2013 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

New Hampshire
(4/12/2019)

IAR

New Jersey
(10/16/2013)

New Jersey
(2/10/2015)

New York
(2/10/2015)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/6/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/29/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/11/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/16/2012

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SEELAUS ASSET MANAGEMENT, LLC

GRANITE SPRINGS ASSET MANAGEMENT, LLC | SUNNYMEATH ASSET MANAGEMENT, INC | SEELAUS ASSET MANAGEMENT, LLC | NAME 806

CRD#: 149582 / SEC#: 801-77641

RIA

Registered Investment Advisory firm - (2/15/2013 Approved)

New Jersey

Registered Investment Advisory firm - (3/28/2013 Terminated)

New York

Registered Investment Advisory firm - (3/28/2013 Terminated)

South Carolina

Registered Investment Advisory firm - (3/28/2013 Terminated)

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Contact information

Main Address

26 Main Street Suite 304, Chatham, NJ 07928

Mailing Address

Phone number

(212) 935-0755

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SEELAUS ASSET MANAGEMENT , LLC FORM ADV PART 2 (3/26/2025)

Regulatory assets under management

Total Number of Accounts	484
AUM (Assets Under Management)	$ 1,552,973,774

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

Thomas P. Dalpiaz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Paul Dalpiaz's CRS (Customer Relationship Summary).

Certified licenses

Experience

R. SEELAUS & CO., LLC

ADVISORS ASSET MANAGEMENT, INC.

ADVISORS ASSET MANAGEMENT, INC.

NEUBERGER BERMAN BD LLC

BOSTON PARTNERS SECURITIES, L.L.C.

Primary Firm SEC Registration

SEELAUS ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/6/2006

Series 63

Date: 11/29/2004

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 11/11/2004

Series 24

Date: 2/16/2012

FINRA

Current Firm

SEELAUS ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SEELAUS ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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