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Duane Mitchell Oakes

Sei Investments Management Corp

Oaks, PA

CRD 4289046

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Employer firm

Sei Investments Management Corp CRD 105146

$216B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (investment companies)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Pension consulting

From the firm’s Form ADV. Read the guides:

Current Employers
Sei Investments Management Corp

One Freedom Valley Drive, Oaks, PA 19456 • United States

Current Registrations

AuthorityCategoryStatusDate
DE RA APPROVED 2025-04-19
IL RA APPROVED 2025-04-17
CO RA APPROVED 2025-04-16
CT RA APPROVED 2025-04-16
NY RA APPROVED 2021-02-23
DC RA APPROVED 2017-02-13
FL RA APPROVED 2016-12-05
NJ RA APPROVED 2016-11-23
AZ RA APPROVED 2016-11-22
NC RA APPROVED 2016-08-12
MA RA APPROVED 2013-11-25
CA RA APPROVED 2013-11-19
PA RA APPROVED 2006-01-04
  • DE RA
    APPROVED
    Since 2025-04-19
  • IL RA
    APPROVED
    Since 2025-04-17
  • CO RA
    APPROVED
    Since 2025-04-16
  • CT RA
    APPROVED
    Since 2025-04-16
  • NY RA
    APPROVED
    Since 2021-02-23
  • DC RA
    APPROVED
    Since 2017-02-13
  • FL RA
    APPROVED
    Since 2016-12-05
  • NJ RA
    APPROVED
    Since 2016-11-23
  • AZ RA
    APPROVED
    Since 2016-11-22
  • NC RA
    APPROVED
    Since 2016-08-12
  • MA RA
    APPROVED
    Since 2013-11-25
  • CA RA
    APPROVED
    Since 2013-11-19
  • PA RA
    APPROVED
    Since 2006-01-04

Branch Locations

One Freedom Valley Drive, Oaks, PA 19456 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Sei Investments Oaks PA 07/2000 Present
  • 07/2000 → Present
    Sei Investments
    Oaks, PA
Previous Registrations
  • 2004-03-22 → 2005-12-31
    Sei Investments Management Corporation Ii
    Oaks, PA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-03-17
S63 Uniform Securities Agent State Law Examination 2003-02-06
  • S65 Uniform Investment Adviser Law Examination
    2004-03-17
  • S63 Uniform Securities Agent State Law Examination
    2003-02-06

View on SEC IAPD

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