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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

SPORTS & ENTERTAINMENT INVESTMENT ADVISERS, LLC

CRD 285611

MONTEBELLO, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:2a611a76-6c38-ecff-ad58-1309bed0bbce

Data as of Mar 15, 2024 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:28 AM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 6
On other graphs: 0
Observed: Nov 22, 2016 to Mar 15, 2024
19 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $18.9MItem 5.F on the latest filing (2024-03-15); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $18.9M
Private client RAUM: $16.3MderivedItem 5.D individuals plus high net worth individuals
Private client share: 86%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3
Advisory employees: 3
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 93
Individual clients: 59
SEC number: 801-108742
CRD: 285611
Filings on the tape: 19
First filed: Nov 22, 2016
Latest filed: Mar 15, 2024
Organised: Limited Liability Company, New York

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BARBA, COURTNEY, JOY	CHIEF COMPLIANCE OFFICER	Na	yes	10/2016	Nov 22, 2016	Mar 15, 2024
BERRO, RODD, DEE	CO-PRESIDENT	D	yes	03/2005	Nov 22, 2016	Mar 15, 2024
Heal, Brian, Arthur	Owner	E	yes	07/2019	Nov 22, 2016	Mar 15, 2024
PEGASUS ASSET MANAGEMENT INC	Member	D	yes	10/2016	Nov 22, 2016	Mar 15, 2024
SEBASTIANO, JOHN, MATTEO	CO-PRESIDENT	D	yes	03/2005	Nov 22, 2016	Mar 15, 2024
SPORTS & ENTERTAINMENT CAPITAL, LLC	Member	D	yes	10/2016	Nov 22, 2016	Mar 15, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
PEGASUS ASSET MANAGEMENT INC	n/a	Independent wealth	$554M	Y	yes	n/a
PEGASUS GROUP, LLC	n/a	Independent wealth	$91.3M	Y	yes	n/a
HEAL FINANCIAL	n/a	n/a	n/a	N	yes	n/a
MAJOR LEAGUE FINANCIAL GROUP	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023	Mar 14, 2024	$18.9M	$18.9M	3	3	1	n/a	n/a
2022	Feb 9, 2023	$11.6M	$11.6M	3	3	1	n/a	n/a
2021	Mar 29, 2022	$13.9M	$13.9M	3	3	1	n/a	n/a
2020	Mar 18, 2021	$11.5M	$11.5M	4	3	0	n/a	n/a
2019	Mar 12, 2020	$10.5M	$10.5M	4	3	0	n/a	n/a
2018	Mar 29, 2019	$4.8M	$4.8M	3	2	0	n/a	n/a
2017	Mar 16, 2018	$2.0M	$2.0M	4	3	0	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$18.9M	$11.6M	63.1%	$11.5M	18.1%	3	3	1	1

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
PEGASUS ASSET MANAGEMENT INC	2	Dec 31, 2024	Apr 4, 2025	MONTEBELLO, NY	Team lift out	RIA to RIA	66.7%

Relationships

Affiliated with (4)

← PEGASUS ASSET MANAGEMENT INCRegistered adviserother investment adviser, control, common control
factForm ADV
← PEGASUS GROUP, LLCRegistered adviserother investment adviser, control, common control
factForm ADV
→ PEGASUS ASSET MANAGEMENT INCRegistered adviserother investment adviser, control, common control
factForm ADV
→ PEGASUS GROUP, LLCRegistered adviserother investment adviser, control, common control
factForm ADV

Controls (6)

← PEGASUS ASSET MANAGEMENT INCOwnerMEMBER, ownership code D, domestic entity
Nov 22, 2016 to presentfactForm ADV
← BERRO, RODD, DEEOwnerCO-PRESIDENT, ownership code D, individual
Nov 22, 2016 to presentfactForm ADV
← SEBASTIANO, JOHN, MATTEOOwnerCO-PRESIDENT, ownership code D, individual
Nov 22, 2016 to presentfactForm ADV
← Heal, Brian, ArthurOwnerOWNER, ownership code E, individual
Nov 22, 2016 to presentfactForm ADV
← BARBA, COURTNEY, JOYOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Nov 22, 2016 to presentfactForm ADV
← SPORTS & ENTERTAINMENT CAPITAL, LLCOwnerMEMBER, ownership code D, domestic entity
Nov 22, 2016 to presentfactForm ADV

Registered with (3)

← RODD DEE BERROAdvisorregistration: previous registration
Mar 24, 2018 to Dec 31, 2024factForm ADV
← JOHN MATTEO SEBASTIANOAdvisorregistration: previous registration
Jul 12, 2021 to Dec 31, 2024factForm ADV
← Brian Arthur HealAdvisorregistration: previous registration
Aug 26, 2021 to Dec 31, 2024factForm ADV

Dated events

Occurred
Dec 31, 2024
Team lift-out
2 advisors left Sports & Entertainment Investment Advisers, LLC (Montebello, NY) for Pegasus Asset Management Inc on the same day
Form ADVobserved 2 days ago
2 advisors
Occurred
Dec 31, 2024
Advisor changed firm
Rodd Dee Berro left Sports & Entertainment Investment Advisers, Llc for Pegasus Asset Management Inc (registered 2018-11-06)
Form ADVobserved 4 days ago
Occurred
Dec 31, 2024
Advisor changed firm
John Matteo Sebastiano left Sports & Entertainment Investment Advisers, Llc for Pegasus Group, Llc (registered 2025-04-04)
Form ADVobserved 4 days ago
Occurred
Dec 31, 2024
Advisor changed firm
Brian Arthur Heal left Sports & Entertainment Investment Advisers, Llc for Heal Financial Llc (registered 2024-06-25)
Form ADVobserved 4 days ago
Occurred
Jul 9, 2019
Control person joined
Arthur Brian Heal (Owner) appeared on Schedule A of Sports & Entertainment Investment Advisers, Llc
Form ADVobserved 4 days ago
Occurred
Nov 22, 2016
First Form ADV filing
Sports & Entertainment Investment Advisers, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2a611a76-6c38-ecff-ad58-1309bed0bbce
First observed: Nov 22, 2016
Last observed: Mar 15, 2024 30 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

SPORTS & ENTERTAINMENT INVESTMENT ADVISERS, LLC

CRD 285611

MONTEBELLO, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:2a611a76-6c38-ecff-ad58-1309bed0bbce

Data as of Mar 15, 2024 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:28 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BARBA, COURTNEY, JOY

CHIEF COMPLIANCE OFFICER

yes

10/2016

Nov 22, 2016

Mar 15, 2024

BERRO, RODD, DEE

CO-PRESIDENT

yes

03/2005

Nov 22, 2016

Mar 15, 2024

Heal, Brian, Arthur

Owner

yes

07/2019

Nov 22, 2016

Mar 15, 2024

PEGASUS ASSET MANAGEMENT INC

Member

yes

10/2016

Nov 22, 2016

Mar 15, 2024

SEBASTIANO, JOHN, MATTEO

CO-PRESIDENT

yes

03/2005

Nov 22, 2016

Mar 15, 2024

SPORTS & ENTERTAINMENT CAPITAL, LLC

Member

yes

10/2016

Nov 22, 2016

Mar 15, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

PEGASUS ASSET MANAGEMENT INC

n/a

Independent wealth

$554M

yes

n/a

PEGASUS GROUP, LLC

n/a

Independent wealth

$91.3M

yes

n/a

HEAL FINANCIAL

n/a

yes

n/a

MAJOR LEAGUE FINANCIAL GROUP

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2023

Mar 14, 2024

$18.9M

n/a

2022

Feb 9, 2023

$11.6M

n/a

2021

Mar 29, 2022

$13.9M

n/a

2020

Mar 18, 2021

$11.5M

n/a

2019

Mar 12, 2020

$10.5M

n/a

2018

Mar 29, 2019

$4.8M

n/a

2017

Mar 16, 2018

$2.0M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2023

$18.9M

$11.6M

63.1%

$11.5M

18.1%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

PEGASUS ASSET MANAGEMENT INC

Dec 31, 2024

Apr 4, 2025

MONTEBELLO, NY

Team lift out

RIA to RIA

66.7%