PEMBERTON CAPITAL ADVISORS LLP
Adviser information for PEMBERTON CAPITAL ADVISORS LLP last updated from Form ADV on March 29th, 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 Partnership |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | United Kingdom |
Employees
| Total Number of Employees | 100 |
|---|---|
| Investment Advisory/Research | 48 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 61 | $21.4B |
| Total | 61 | $21.4B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | <5 | $0 |
| HNW Individuals | <5 | $0 |
| Banking or thrift institutions | <5 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 61 | $21.4B |
| Pension and profit sharing plans | <5 | $0 |
| Charitable organizations | <5 | $0 |
| State or municipal gov entities | <5 | $0 |
| Other investment advisers | <5 | $0 |
| Insurance companies | <5 | $0 |
| Sovereign wealth funds and foreign official institutions | <5 | $0 |
| Corporations or other businesses | <5 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 93 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesNON-DISCRETIONARY INVESTMENT ADVICE AS AN ADVISER |
|---|---|
| Compensation | FEE BASED UPON EXPENSES AND COMMITMENTS |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-107757 |
|---|---|
| SEC ERA File Number | 801-107757 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 282621 |
| Legal Entity Identifier | None |
Principal Office
5 HOWICK PLACELONDON
United Kingdom
Monday - Friday, 8.30 AM TO 6.30 PM
Tel: 44 (0) 20 7993 9300, Fax: 44 (0) 20 7993 9329
Websites
Chief Compliance Officer
HELEN RICHARDS
5 HOWICK PLACE
LONDON
United Kingdom
Tel:
+442079939313
H*************@**************M
(Full email address available in API data)
Regulatory Contact
MARK JONATHAN HICKEY
COO
5 HOWICK PLACE
LONDON
United Kingdom
Tel:
+4402079939315
M**********@**************M
(Full email address available in API data)
Industry Affiliates
| PEMBERTON ASSET MANAGEMENT S.A. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| PEMBERTON CAPITAL S.A.R.L. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| PEMBERTON DEBT FUND GP III SARL | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| PEMBERTON DEBT FUND IV GP S.A.R.L | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| PEMBERTON DEBT GP II (CAYMAN) LTD | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PEMBERTON DEBT GP II S.A.R.L. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| PEMBERTON DEBT GP III SARL | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| PEMBERTON DEBT GP S.A.R.L. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| PEMBERTON GP I (CAYMAN) LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| PEMBERTON NAV FINANCING GP S.A.R.L. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| PEMBERTON RSS GP S.� R.L. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| PEMBERTON SENIOR LOANS GP II S.A.R.L | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| PEMBERTON STRATEGIC CREDIT GP I (CAYMAN) LTD | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| PEMBERTON STRATEGIC CREDIT GP II (CAYMAN) LTD | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| PEMBERTON STRATEGIC CREDIT GP II SARL | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| PEMBERTON STRATEGIC CREDIT GP III S.A.R.L. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| PEMBERTON DEBT FUND DELAWARE I L.P | FEEDER FUND TO A PRIVATE EQUITY FUND | $41.5M | $5.0M | 3 |
| PEMBERTON DEBT FUND DELAWARE II LP | FEEDER FUND TO PRIVATE EQUITY FUND | $81.1M | $10.0M | 1 |
| PEMBERTON EVERGREEN ALTERNATIVE CREDIT FUND LP | DEBT FUND | $0.0M | $10.0M | 0 |
| PEMBERTON NAV FINANCING CORE USD FEEDER SCSP | FEEDER FUND TO PRIVATE EQUITY FUND | $0.0M | $10.0M | 1 |
| PEMBERTON STRATEGIC CREDIT FUND CAYMAN I LP | FEEDER FUND TO PRIVATE EQUITY FUND | $33.5M | $10.0M | 6 |
| PEMBERTON STRATEGIC CREDIT FUND DELAWARE I LP | FEEDER FUND TO PRIVATE EQUITY FUND | $318.6M | $11.3M | 9 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| RICHARDS, HELEN, JANE | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2015 | < 5% |
| LEGAL & GENERAL CAPITAL INVESTMENTS LTD | Foreign Entity | – | SHAREHOLDER | 08/2014 | 25-50% |
| PEMBERTON ASSET MANAGEMENT SERVICES UK LIMITED | Foreign Entity | – | SHAREHOLDER | 01/2012 | 5-10% |
| JONES, KEITH, NMN | Individual | – | OFFICER | 10/2013 | < 5% |
| HICKEY, MARK, JONATHAN | Individual | – | PARTNER, COO | 08/2023 | < 5% |
| DRAKE-BROCKMAN, SYMON, RODERICK | Individual | – | SHAREHOLDER | 11/2010 | 25-50% |
| DUETOFT, THOMAS, STEFAN | Individual | – | PARTNER | 09/2014 | < 5% |
| DRAKE-BROCKMAN, SYMON, RODERICK | Individual | PEMBERTON ASSET MANAGEMENT HOLDINGS LIMITED | PARTNER | 11/2010 | 25-50% |
| LEGAL & GENERAL CAPITAL INVESTMENTS LTD | Foreign Entity | PEMBERTON ASSET MANAGEMENT HOLDINGS LIMITED | SHAREHOLDER | 02/2015 | 25-50% |
| INTERTRUST TRUSTEE 2 (JERSEY) LIMITED | Foreign Entity | PEMBERTON TRUST | TRUSTEE | 02/2015 | |
| PEMBERTON TRUST | Foreign Entity | PEMBERTON ASSET MANAGEMENT HOLDINGS LIMITED | SHAREHOLDER | 02/2015 | |
| PEMBERTON ASSET MANAGEMENT HOLDINGS LIMITED | Foreign Entity | PEMBERTON ASSET MANAGEMENT SERVICES UK LIMITED | SHAREHOLDER | 11/2010 | > 75% |
| LEGAL & GENERAL GROUP PLC | Foreign Entity | LEGAL & GENERAL CAPITAL INVESTMENTS LTD | SHAREHOLDER | 02/2015 | > 75% |
| GULLIVER, BEN, WARREN | Individual | – | PARTNER | 09/2016 | < 5% |
| CHALLIS, ROBIN, EDWARD | Individual | – | PARTNER | 12/2016 | < 5% |
| GATES, NICOLE, JAYNE | Individual | – | PARTNER | 10/2016 | < 5% |
| CAPP, ERIC, MATTHEW | Individual | – | PARTNER | 05/2017 | < 5% |
| JOSSERAND, ANTOINE, OLIVER | Individual | – | PARTNER | 07/2018 | < 5% |
| GUENTHER, CARSTEN, NMN | Individual | – | PARTNER | 06/2020 | < 5% |
| ALDRICH, PAUL, NMN | Individual | – | PARTNER | 06/2020 | < 5% |
| DOYLE, THOMAS, ANTHONY | Individual | – | PARTNER | 01/2022 | < 5% |
| POLTURAK, HARRIET, ANNE | Individual | – | PARTNER | 06/2023 | < 5% |