PINEBRIDGE GALAXY LLC
Adviser information for PINEBRIDGE GALAXY LLC last updated from Form ADV on March 28th, 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 Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 1 |
| 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 | 5 | $2.1B |
| Non-Discretionary | 0 | $0 |
| Total | 5 | $2.1B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 5 | $2.1B |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-108522 |
|---|---|
| SEC ERA File Number | 801-108522 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 285211 |
| Legal Entity Identifier | None |
Principal Office
65 EAST 55TH STREETPARK AVENUE TOWER
NEW YORK
NY
United States
Monday - Friday, 9:00AM - 5:00PM
Tel: (646) 857-8000, Fax: None
Chief Compliance Officer
WILLIAM E. CORSON
GLOBAL CHIEF COMPLIANCE OFFICER
65 EAST 55TH STREET
PARK AVENUE TOWER
NEW YORK
NY
United States
Tel:
646-857-8548
Fax:
646-308-6490
W*************@*************M
(Full email address available in API data)
Regulatory Contact
DAVID MCCABE
COMPLIANCE MANAGER
65 EAST 55TH STREET
PARK AVENUE TOWER
NEW YORK
NY
United States
Tel:
646-857-8132
D***********@*************M
(Full email address available in API data)
Industry Affiliates
| FWD MANAGEMENT HOLDINGS LIMITED | Insurance company or agency |
| HUATAI-PINEBRIDGE FUND MANAGEMENT CO., LTD | Other investment adviser, including financial planners |
| PINEBRIDGE BENSON ELLIOT | Other investment adviser, including financial planners |
| PINEBRIDGE DE MEXICO S. DE R.L. DE C.V | Other investment adviser, including financial planners |
| PINEBRIDGE INDIA PRIVATE LIMITED | Other investment adviser, including financial planners |
| PINEBRIDGE INVESTMENTS ASIA LIMITED | Other investment adviser, including financial planners |
| PINEBRIDGE INVESTMENTS DEUTSCHLAND GMBH | Other investment adviser, including financial planners |
| PINEBRIDGE INVESTMENTS EUROPE LIMITED | Other investment adviser, including financial planners |
| PINEBRIDGE INVESTMENTS HONG KONG LIMITED | Other investment adviser, including financial planners |
| PINEBRIDGE INVESTMENTS IRELAND LIMITED | Other investment adviser, including financial planners |
| PINEBRIDGE INVESTMENTS JAPAN CO., LTD. | Other investment adviser, including financial planners |
| PINEBRIDGE INVESTMENTS LATIN AMERICA SPA | Other investment adviser, including financial planners |
| PINEBRIDGE INVESTMENTS LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| PINEBRIDGE INVESTMENTS MALAYSIA SDN BHD | Other investment adviser, including financial planners |
| PINEBRIDGE INVESTMENTS MANAGEMENT TAIWAN LIMITED | Other investment adviser, including financial planners |
| PINEBRIDGE INVESTMENTS SINGAPORE LIMITED | Other investment adviser, including financial planners |
| PINEBRIDGE INVESTMENTS SWITZERLAND GMBH | Other investment adviser, including financial planners |
| PINEBRIDGE SECURITIES LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| GALAXY XIX CLO LTD | Securitized Asset Fund | $444.5M | $0.3M | 0 |
| GALAXY XXIII CLO LTD | Securitized Asset Fund | $256.5M | $0.3M | 0 |
| GALAXY XXIV CLO LTD | Securitized Asset Fund | $456.8M | $0.3M | 0 |
| GALAXY XXV CLO LTD | Securitized Asset Fund | $484.8M | $0.3M | 0 |
| GALAXY XXVI CLO LTD | Securitized Asset Fund | $440.8M | $0.3M | 0 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| PINEBRIDGE INVESTMENTS LLC | Domestic Entity | – | DIRECT OWNER | 09/2016 | > 75% |
| LAPHAM, JOHN, GORDON | Individual | – | PRESIDENT | 09/2016 | < 5% |
| KOLLMORGEN, LAILA, MARIE | Individual | – | MANAGING DIRECTOR | 09/2016 | < 5% |
| OH, STEVEN, SUK MIN | Individual | – | MANAGING DIRECTOR | 09/2016 | < 5% |
| MEISSNER, ANDREW, JEFFREY | Individual | – | MANAGING DIRECTOR | 09/2016 | < 5% |
| PINEBRIDGE INVESTMENTS HOLDINGS US LLC | Domestic Entity | PINEBRIDGE INVESTMENTS, LLC | SHAREHOLDER | 09/2009 | > 75% |
| PINEBRIDGE INVESTMENTS, L.P. | Foreign Entity | PINEBRIDGE INVESTMENTS HOLDINGS US LLC | SHAREHOLDER | 03/2010 | > 75% |
| BRIDGE HOLDINGS COMPANY LIMITED | Foreign Entity | PINEBRIDGE INVESTMENTS, L.P. | GENERAL PARTNER | 08/2009 | |
| PACIFIC CENTURY INVESTMENT HOLDINGS (CAYMAN ISLANDS), L.P. | Foreign Entity | PINEBRIDGE INVESTMENTS, L.P. | LIMITED PARTNER | 08/2009 | > 75% |
| LI, RICHARD, TZAR KAI | Individual | CHILTONLINK LIMITED | SHAREHOLDER | 12/1996 | > 75% |
| PACIFIC CENTURY PARTNERS GP LIMITED | Foreign Entity | PACIFIC CENTURY INVESTMENT HOLDINGS (CAYMAN ISLANDS), L.P. | GENERAL PARTNER | 08/2009 | |
| PACIFIC CENTURY INVESTMENT HOLDINGS (CAYMAN ISLANDS) LIMITED | Foreign Entity | PACIFIC CENTURY INVESTMENT HOLDINGS (CAYMAN ISLANDS), L.P. | LIMITED PARTNER | 08/2009 | > 75% |
| PACIFIC CENTURY INVESTMENT HOLDINGS NO. 1 LIMITED | Foreign Entity | PACIFIC CENTURY INVESTMENT HOLDINGS (CAYMAN ISLANDS) LIMITED | SHAREHOLDER | 08/2009 | > 75% |
| CHILTONLINK LIMITED | Foreign Entity | PACIFIC CENTURY INVESTMENT HOLDINGS NO. 1 LIMITED | SHAREHOLDER | 07/2009 | > 75% |
| PACIFIC CENTURY INVESTMENT HOLDINGS (CAYMAN ISLANDS) LIMITED | Foreign Entity | PACIFIC CENTURY PARTNERS GP LIMITED | SHAREHOLDER | 08/2009 | > 75% |
| PACIFIC CENTURY INVESTMENT HOLDINGS (CAYMAN ISLANDS) LIMITED | Foreign Entity | BRIDGE HOLDINGS COMPANY LIMITED | SHAREHOLDER | 08/2009 | > 75% |
| KARPIK, MICHAEL, JOHN | Individual | – | CHIEF OPERATING OFFICER | 01/2018 | < 5% |
| AHERN, TRACIE, ELIZABETH | Individual | – | CHIEF FINANCIAL OFFICER | 10/2019 | < 5% |
| SHERRY, DANIEL, PATRICK | Individual | – | MANAGING DIRECTOR | 06/2020 | < 5% |
| HASNAIN, SAIYED, MOZAFFAR | Individual | – | MANAGING DIRECTOR | 03/2021 | < 5% |
| SMITH, ERIC, JAMES | Individual | – | GENERAL COUNSEL | 05/2020 | < 5% |
| CORSON, WILLIAM, EMERSON | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2022 | < 5% |