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Thomas P. Pileggi

SEI INVESTMENTS MANAGEMENT CORP
Oaks, PA 19456
Some features on this profile are disabled
CRD#: 5483436
TP

Professional summary

Thomas Peter Pileggi III, who also goes by Thomas Pileggi, Tom Pileggi III, is a registered financial advisor currently at SEI INVESTMENTS MANAGEMENT CORP located in Oaks, Pennsylvania and SEI INVESTMENTS DISTRIBUTION CO. located in Oaks, Pennsylvania.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Thomas has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Thomas Pileggi | Tom Pileggi Iii

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 Peter Pileggi III'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 27, 2022 - Present

SEI INVESTMENTS MANAGEMENT CORP

Office #1: One Freedom Valley Drive, Oaks, PA 19456
RIA
CRD#: 105146
Oaks, PA
Current

October 27, 2022 - Present

SEI INVESTMENTS DISTRIBUTION CO.

Office #1: One Freedom Valley Drive, Oaks, PA 19456
BD
CRD#: 10690
Oaks, PA
Past

April 7, 2022 - September 1, 2022

ORION PORTFOLIO SOLUTIONS, LLC

RIA
CRD#: 125446
Berwyn, PA
Past

April 7, 2022 - September 1, 2022

BRINKER CAPITAL SECURITIES, LLC

BD
CRD#: 38123
BERWYN, PA
Past

August 29, 2018 - April 7, 2022

BNY ADVISORS

RIA
CRD#: 106108
PENNINGTON, NJ
Past

August 29, 2018 - April 7, 2022

PERSHING LLC

BD
CRD#: 7560
KING OF PRUSSIA, PA
Past

August 20, 2015 - July 18, 2017

BNY ADVISORS

RIA
CRD#: 106108
KING OF PRUSSIA, PA
Past

June 3, 2009 - July 18, 2017

PERSHING LLC

BD
CRD#: 7560
KING OF PRUSSIA, PA

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".
SI
SEI INVESTMENTS MANAGEMENT CORP
GOAL INVESTOR | SEI PRIVATE WEALTH MANAGEMENT | SEI INVESTMENTS MANAGEMENT CORP | SEI HUNTINGTON STEELE | SEI FIXED INCOME PORTFOLIO MANAGEMENT | SEI ADVISOR NETWORK | GOALINVESTOR

CRD#: 105146 / SEC#: 801-24593

RIA
Registered Investment Advisory firm - (6/27/1985 Approved)

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.
RR
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

RR
Pennsylvania
(10/27/2022)
IAR
Pennsylvania
(10/27/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/19/2015
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/2/2009
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SI
SEI INVESTMENTS MANAGEMENT CORP
GOAL INVESTOR | SEI PRIVATE WEALTH MANAGEMENT | SEI INVESTMENTS MANAGEMENT CORP | SEI HUNTINGTON STEELE | SEI FIXED INCOME PORTFOLIO MANAGEMENT | SEI ADVISOR NETWORK | GOALINVESTOR

CRD#: 105146 / SEC#: 801-24593

RIA
Registered Investment Advisory firm - (6/27/1985 Approved)
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Contact information

Main Address
One Freedom Valley Drive, Oaks, PA 19456
Mailing Address
Phone number
(610) 676-1000
Established
Firm type
Fiscal year end
# of Employees
447

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SIMC FORM ADV PART 2A - INDEPENDENT ADVISOR SOLUTIONS BY SEI (2/2/2026)
SIMC WRAP FEE BROCHURE - MANAGED ACCOUNT SOLUTIONS (INDEPENDENT ADVISOR SOLUTIONS BY SEI) (12/22/2025)
SIMC FORM ADV PART 2A - SEI PRIVATE WEALTH MANAGEMENT (10/31/2025)
SIMC FORM ADV PART 2A - SEI INSTITUTIONAL GROUP (10/31/2025)
SIMC FORM ADV PART 2A - SEI PRIVATE BANKING (10/31/2025)
SIMC WRAP FEE BROCHURE - MANAGED ACCOUNT SOLUTIONS (PRIVATE WEALTH MANAGEMENT) (3/31/2025)

Regulatory assets under management

Total Number of Accounts99,603
AUM (Assets Under Management)$ 198,143,431,156

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
01/27/2025
Cover Page
Report
10/25/2023
Cover Page
Report

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.

Company Information

SEI INVESTMENTS MANAGEMENT CORP

CRD#: 105146Oaks, PA 19456

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