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CRD 147092
PURCHASE, NY
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| MARK DENNIS FADLING | n/a | MEDFORD, OR | PURCHASE, NY | 15 | 34 | 3 | yes |
| BENJAMIN STUART BRAINARD | n/a | MEDFORD, OR | PURCHASE, NY | 15 | 25 | 2 | yes |
| ROBERT RAYMOND SAYLER | n/a | PURCHASE, NY | Rapid City, SD | 15 | 30 | 2 | yes |
| HEATHER ANN HASTEY | n/a | NEWPORT BEACH, CA | PURCHASE, NY | 13 | 16 | 1 | no |
| CHARLES MURRAY DWIGHT | Chartered Financial Analyst | KENNEBUNK, ME | PURCHASE, NY | 13 | 13 | n/a | no |
| ERIK METVINER | n/a | PURCHASE, NY | 13 | 13 | n/a | no |
| TONY SAEMAI | n/a | PURCHASE, NY | 12 | 20 | 2 | yes |
| ROBERT LEE CLARK | n/a | Cumberland Foreside, ME | PURCHASE, NY | 10 | 36 | n/a | no |
| LEE ALLEN NYSTED | n/a | Lake Bluff, IL | PURCHASE, NY | 10 | 45 | 2 | no |
| KENNETH METVINER | n/a | Kissimmee, FL | PURCHASE, NY | 10 | 42 | 2 | no |
| SUSAN BOCK | n/a | PURCHASE, NY | 9 | 46 | 1 | no |
| DANIEL CRAIG MOSKOW | n/a | SCOTTSDALE, AZ | PURCHASE, NY | 8 | 34 | 3 | no |
| JOANNE LIAKOS HACKENBURG | n/a | PURCHASE, NY | VERO BEACH, FL | 8 | 40 | n/a | yes |
| RAYMOND ANTHONY PRUZINSKY | n/a | PURCHASE, NY | 7 | 38 | 2 | yes |
| STEPHEN T TU | n/a | Rolling Hills Estates, CA | PURCHASE, NY | 7 | 17 | 2 | yes |
| FRANCIS COOPER LAWRANCE | n/a | DARIEN, CT | PURCHASE, NY | 6 | 42 | 3 | yes |
| EDWARD MALACHY SULLIVAN | n/a | PURCHASE, NY | 6 | 45 | n/a | yes |
| MICHAEL PATRICK DOWD | n/a | PURCHASE, NY | 6 | 42 | 2 | no |
| CARLOS GABRIEL MEJIA | n/a | Brooklyn, NY | PURCHASE, NY | 5 | 20 | 2 | yes |
| WAYNE RAY WONG | Certified Financial Planner | PURCHASE, NY | SAN FRANCISCO, CA | 4 | 27 | 2 | yes |
| JASON LEE SEALE | n/a | NOVATO, CA | PURCHASE, NY | 3 | 35 | 2 | no |
| JAMES DOUGLAS DICKEY | Certified Financial Planner | PARROTTSVILLE, TN | PURCHASE, NY | 3 | 26 | 2 | no |
| JULIANA SURCALO EVANS | n/a | FREEPORT, FL | PURCHASE, NY | 2 | 11 | n/a | no |
| JACQUELINE PRUE | n/a | PURCHASE, NY | 2 | 43 | 3 | no |
| Claudia Rivas | n/a | PURCHASE, NY | SAN FRANCISCO, CA | 2 | 20 | 5 | no |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| SEACREST EMERGING MARKET DEBT PARTNERS, L.P. | Hedge Fund | $2.5M | Sep 25, 2012 | 14 | Mar 28, 2012 | dropped | 021-96915 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| LENIHAN, RONALD, R | MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER | Na | yes | 07/2009 | Aug 10, 2026 | Aug 10, 2026 |
| SEACREST MANAGEMENT, LLC | Member | D | yes | 04/2008 | Aug 10, 2026 | Aug 10, 2026 |
| SULLIVAN, EDWARD, MALACHY | PRESIDENT, MANAGING MEMBER | D | yes | 04/2008 | Aug 10, 2026 | Aug 10, 2026 |
| GUPTA, RAJESH, KUMAR | PARTNER EMERITUS | C | yes | 04/2008 | Mar 28, 2012 | Oct 18, 2024 |
| LENIHAN, RONALD, R | MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER | C | yes | 04/2008 | Mar 28, 2012 | Oct 18, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| SEACREST INVESTMENT MANAGEMENT, LLC | n/a | Mixed wealth | $111M | N | yes | n/a |
| SEACREST FINANCIAL SERVICES, LLC | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Medford | Or | United States | 6 | yes |
| Louisville | Ky | United States | 3 | yes |
| SAN FRANCISCO | CA | United States | 2 | yes |
| KANSAS CITY | Mo | United States | 2 | no |
| Chatham | Nj | United States | 2 | no |
| RAPID CITY | Sd | United States | 2 | yes |
| Scottsdale | Az | United States | 1 | no |
| LONG BEACH | CA | United States | 1 | no |
| Novato | CA | United States | 1 | no |
| Orinda | CA | United States | 1 | no |
| ROLLING HILLS ESTATE | CA | United States | 1 | yes |
| Naperville | IL | United States | 1 | no |
| Troy | Mi | United States | 1 | yes |
| KANSAS CITY | Mo | United States | 1 | no |
| Charleston | Nc | United States | 1 | no |
| Brooklyn | NY | United States | 1 | yes |
| Greenville | Sc | United States | 1 | no |
| n/a | n/a | n/a | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 17, 2026 | $1.5B | $1.4B | 47 | 36 | 21 | n/a | n/a |
| 2024 | Feb 7, 2025 | $1.6B | $1.5B | 51 | 42 | 27 | n/a | n/a |
| 2023 | Mar 27, 2024 | $1.3B | $1.2B | 51 | 38 | 26 | n/a | n/a |
| 2022 | Mar 29, 2023 | $1.1B | $1.0B | 51 | 43 | 30 | n/a | n/a |
| 2021 | Mar 31, 2022 | $1.4B | $1.2B | 53 | 43 | 28 | n/a | n/a |
| 2020 | Mar 31, 2021 | $1.2B | $1.2B | 51 | 42 | 25 | n/a | n/a |
| 2019 | Mar 27, 2020 | $905M | $807M | 53 | 42 | 24 | n/a | n/a |
| 2018 | Mar 28, 2019 | $696M | $659M | 51 | 42 | 24 | n/a | n/a |
| 2017 | Mar 30, 2018 | $740M | $701M | 53 | 45 | 19 | n/a | n/a |
| 2016 | Mar 31, 2017 | $608M | $599M | 52 | 42 | n/a | n/a | n/a |
| 2015 | Mar 30, 2016 | $545M | $513M | 51 | 38 | n/a | n/a | n/a |
| 2014 | Mar 31, 2015 | $567M | $560M | 38 | 37 | n/a | n/a | n/a |
| 2013 | Mar 28, 2014 | $523M | $486M | 37 | 29 | n/a | n/a | n/a |
| 2012 | Apr 1, 2013 | $402M | $380M | 37 | 35 | n/a | n/a | n/a |
| 2011 | Mar 28, 2012 | $210M | $210M | n/a | n/a | n/a | 1 | $2.5M |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 2 | 6 | -4 | 17.1% | 1 | 4 | 0 | 7 | 11 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $1.5B | $1.6B | -1.8% | $1.1B | 11.2% | 47 | 51 | 22 | 27 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| PRIVATE WEALTH CONSULTING, LLC | 2 | Jul 23, 2026 | Mar 23, 2026 | KANSAS CITY, MO | Team lift out | RIA to RIA | 5.1% |
| PRIVATE WEALTH CONSULTING, LLC | 2 | Jul 23, 2026 | Mar 20, 2026 | PURCHASE, NY | Team lift out | RIA to RIA | 5.1% |
| SILVER OAK SECURITIES, INC. | 2 | Jun 30, 2025 | Jul 1, 2025 | PURCHASE, NY | Team lift out | RIA to ibd | 5.0% |