SPORTS & ENTERTAINMENT INVESTMENT ADVISERS, LLC
Adviser information for SPORTS & ENTERTAINMENT INVESTMENT ADVISERS, LLC last updated from Form ADV on March 15th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 93 | $18.9M |
| Non-Discretionary | 0 | $0 |
| Total | 93 | $18.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 59 | $11.3M |
| HNW Individuals | <5 | $5.0M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $2.7M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-108742 |
|---|---|
| SEC ERA File Number | 801-108742 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 285611 |
| Legal Entity Identifier | None |
Principal Office
400 RELLA BOULEVARDSUITE 157
MONTEBELLO
NY
United States
Monday - Friday, 9 AM 5 PM
Tel: 845-369-9422, Fax: 845-369-9420
Websites
Chief Compliance Officer
COURTNEY J. BARBA
400 RELLA BOULEVARD
SUITE 157
MONTEBELLO
NY
United States
Tel:
845-369-9422
Fax:
845-369-9420
C*****@******************M
(Full email address available in API data)
Regulatory Contact
JOHN SEBASTIANO
MEMBER
400 RELLA BOULEVARD
SUITE 157
MONTEBELLO
NY
United States
Tel:
845-369-9422
Fax:
845-369-9420
J**@******************M
(Full email address available in API data)
Industry Affiliates
| HEAL FINANCIAL | Insurance company or agency |
| MAJOR LEAGUE FINANCIAL GROUP | Insurance company or agency |
| PEGASUS ASSET MANAGEMENT INC | Other investment adviser, including financial planners |
| PEGASUS GROUP, LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BARBA, COURTNEY, JOY | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2016 | < 5% |
| PEGASUS ASSET MANAGEMENT INC | Domestic Entity | – | MEMBER | 10/2016 | 50-75% |
| SEBASTIANO, JOHN, MATTEO | Individual | PEGASUS ASSET MANAGEMENT INC | CO-PRESIDENT | 03/2005 | 50-75% |
| SPORTS & ENTERTAINMENT CAPITAL, LLC | Domestic Entity | – | MEMBER | 10/2016 | 50-75% |
| BERRO, RODD, DEE | Individual | PEGASUS ASSET MANAGEMENT INC | CO-PRESIDENT | 03/2005 | 50-75% |
| Heal, Brian, Arthur | Individual | SPORTS & ENTERTAINMENT CAPITAL, LLC | OWNER | 07/2019 | > 75% |