PGM INC.
Adviser information for PGM INC. last updated from Form ADV on March 6th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 2 |
| 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 | No |
|---|
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 | 0 | $0 |
| 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 | TRANSITION MANAGEMENT SERVICES |
|---|---|
| Compensation | Fixed feesCommissions |
Identifiers
| SEC RIA File Number | 801-114292 |
|---|---|
| SEC ERA File Number | 801-114292 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 299309 |
| Legal Entity Identifier | None |
Principal Office
1010 DE LA GAUCHETIERE WEST, STE 2010MONTREAL, QUEBEC
Canada
Monday - Friday, 8:30 AM - 5:00 PM
Tel: 514-315-5037, Fax: 514-932-3681
Chief Compliance Officer
MARIO CHOUEIRI
PRESIDENT & CHIEF COMPLIANCE OFFICER
1010 DE LA GAUCHETIERE WEST, STE 2010
MONTREAL, QUEBEC
Canada
Tel:
514-315-5037
M********@************M
(Full email address available in API data)
Regulatory Contact
GIANCARLO FARINACCI
TREASURER
1010 DE LA GAUCHETIERE WEST, STE 2010
MONTREAL, QUEBEC
Canada
Tel:
514-227-7718
G*********@************M
(Full email address available in API data)
Industry Affiliates
| PGM GLOBAL INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| PGM GLOBAL HOLDINGS INC. | Foreign Entity | – | SHAREHOLDER | 10/2018 | > 75% |
| CHOUEIRI, MARIO | Individual | – | PRESIDENT, CCO & DIRECTOR | 10/2018 | < 5% |
| FARINACCI, GIANCARLE, MICHELE | Individual | – | TREASURER | 10/2018 | < 5% |
| HALSTON COURT CAPITAL INC. | Foreign Entity | PGM GLOBAL HOLDINGS INC. | SHAREHOLDER | 11/2019 | 25-50% |
| WEINBERG, MARTIN, SIDNEY | Individual | HALSTON COURT CAPITAL INC. | SHAREHOLDER | 11/2019 | 25-50% |