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Thomas Seftenberg

Head of Global Distribution at Driehaus Capital Management

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
5
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Thomas Seftenberg is Head of Global Distribution of Driehaus Capital Management LLC, a Chicago investment adviser managing $26.1B. Thomas Seftenberg has a current broker registration and no current investment-adviser registration and has passed 5 licensing exams.

Role at Driehaus Capital Management

Title on Schedule A
Head of Global Distribution
Control
Thomas Seftenberg is a control person of Driehaus Capital Management.
Ownership
An individual ownership band is not available in the source record.
Tenure
Thomas Seftenberg has held the filed role since January 2011.

The firm

Driehaus Capital Management LLC
Chicago, IL

Form ADV filed 14 September 2026

$26.1B AUM90 clients27 advisers1 offices

Career on record

Firms and exams, newest first
  1. Passed SIE · 2018
  2. Passed Series 3 · 2016
  3. Passed Series 24 · 2013
  4. Passed Series 63 and Series 7 · 1998

Registrations and exams

Broker registration; no current adviser registration. Thomas Seftenberg has passed 5 qualifying exams.

Examinations

Series 6312 October 1998
Name
Uniform Securities Agent State Law Examination
Series 247 June 2013
Name
General Securities Principal Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 310 March 2016
Name
National Commodity Futures Examination
Series 728 October 1998
Name
General Securities Representative Examination

Individual record

Full name
Thomas McKean Seftenberg
CRD
3127527
Firm
Driehaus Capital Management LLC
Registration status
Broker registration; no current adviser registration
Firm bio
driehaus.com

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Background

Driehaus identifies Thomas Seftenberg as Head of Global Distribution and says he leads the firm’s sales and relationship-management efforts. The page attributes him to the Institutional Relationships and International / Offshore Sales group. Official Driehaus biography

Education

  • Driehaus says Thomas Seftenberg earned a B.A. in political science from Wittenberg University and an M.B.A. in finance and marketing from the University of Chicago.Official Driehaus biography

Common questions

Where does Thomas Seftenberg work?

Thomas Seftenberg has been Head of Global Distribution of Driehaus Capital Management LLC since January 2011, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 14 September 2026

Does Thomas Seftenberg have a current investment-adviser registration?

Thomas Seftenberg has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Thomas Seftenberg passed?

Thomas Seftenberg has passed 5 licensing exams: the Series 63, Series 7, Series 24, Series 3 and SIE. The earliest, the Series 63, was passed in October 1998.

Source: IAPD individual record, checked 17 October 2026

Leadership at Driehaus Capital Management

Sources

  1. IAPD individual record, CRD 3127527. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Driehaus Capital Management LLC, filed 14 September 2026. Title, control and ownership bands.
  3. Driehaus Capital Management team page. Biography, education, credentials, awards.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Thomas Seftenberg or Driehaus Capital Management LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.