ORIX ADVISERS, LLC
Adviser information for ORIX ADVISERS, LLC last updated from Form ADV on June 29th, 2023. 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 | MARCH |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 306 |
|---|---|
| Investment Advisory/Research | 63 |
| Registered Broker-Dealer Representatives | 8 |
| 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 | 16 | $6.3B |
| Non-Discretionary | 8 | $1.9B |
| Total | 24 | $8.2B |
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 | 16 | $6.3B |
| 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 | <5 | $176.7M |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $388.2M |
| Other | <5 | $1.3B |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 55 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-118177 |
|---|---|
| SEC ERA File Number | 801-118177 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 307580 |
| Legal Entity Identifier | None |
Principal Office
280 PARK AVENUE40 WEST
NEW YORK
NY
United States
Monday - Friday, 9 AM TO 5 PM
Tel: 212-468-5888, Fax: None
Websites
Chief Compliance Officer
MICHELE ELISSA HALICKMAN
280 PARK AVENUE
40 WEST
NEW YORK
NY
United States
Tel:
646-957-7784
M****************@*******M
(Full email address available in API data)
Industry Affiliates
| LUMENT INVESTMENT MANAGEMENT, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| LUMENT SECURITIES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| NXT CAPITAL INVESTMENT ADVISERS, LLC | Other investment adviser, including financial planners |
| ORIX CAPITAL FUND I GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PARTNERS SPECIAL OPPORTUNITIES FUND GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| RB CAPITAL ASSET MANAGEMENT LTDA | Other investment adviser, including financial planners |
| SIGNAL PEAK CAPITAL MANAGEMENT, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| ORIX CAPITAL FUND I, LP | Private Equity Fund | $992.0M | $0.0M | 8 |
| SIGNAL PEAK CLO 1, LTD | Securitized Asset Fund | $453.5M | $0.5M | 17 |
| SIGNAL PEAK CLO 10, LTD | Securitized Asset Fund | $399.8M | $0.3M | 13 |
| SIGNAL PEAK CLO 11, LTD | CLO WAREHOUSE | $198.5M | $0.3M | 1 |
| SIGNAL PEAK CLO 12, LTD | Securitized Asset Fund | $401.0M | $0.3M | 11 |
| SIGNAL PEAK CLO 2, LLC | Securitized Asset Fund | $365.5M | $0.5M | 4 |
| SIGNAL PEAK CLO 3, LTD | Securitized Asset Fund | $383.1M | $0.3M | 6 |
| SIGNAL PEAK CLO 4, LTD | Securitized Asset Fund | $597.0M | $0.3M | 12 |
| SIGNAL PEAK CLO 5, LTD. | Securitized Asset Fund | $496.1M | $0.3M | 15 |
| SIGNAL PEAK CLO 6, LTD. | Securitized Asset Fund | $494.9M | $0.3M | 16 |
| SIGNAL PEAK CLO 7, LTD | Securitized Asset Fund | $398.5M | $0.3M | 16 |
| SIGNAL PEAK CLO 8, LTD. | Securitized Asset Fund | $502.5M | $0.3M | 2 |
| SIGNAL PEAK CLO 9, LTD | Securitized Asset Fund | $500.7M | $0.3M | 14 |
| SIGNAL PEAK CLO BOBBY | CLO WAREHOUSE | $102.8M | $0.3M | 1 |
| SIGNAL PEAK CLO OPPORTUNITIES FUND, L.P. | Hedge Fund | $3.9M | $1.0M | 54 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| OAM HOLDINGS, LLC | Domestic Entity | – | MAJORITY SHAREHOLDER | 08/2016 | > 75% |
| OCU GLOBAL ASSET MANAGEMENT, LLC | Domestic Entity | OAM HOLDINGS, LLC | SOLE OWNER | 09/2017 | > 75% |
| OCU OPCO HOLDINGS, LLC | Domestic Entity | OCU GLOBAL ASSET MANAGEMENT, LLC | SOLE OWNER | 09/2015 | > 75% |
| ORIX CAPITAL MARKETS, LLC | Domestic Entity | OCU OPCO HOLDINGS, LLC | SOLE OWNER | 09/2015 | > 75% |
| ORIX CORPORATION USA | Domestic Entity | ORIX CAPITAL MARKETS, LLC | SOLE OWNER | 03/1997 | > 75% |
| ORIX CORPORATION | Foreign Entity | ORIX CORPORATION USA | SOLE OWNER | 08/1981 | > 75% |
| GILROY, CHARLES, FRANCIS | Individual | – | CHIEF OPERATING OFFICER | 12/2020 | < 5% |
| ZHU, YUE | Individual | – | CHIEF ACCOUNTING OFFICER | 06/2021 | < 5% |
| HALICKMAN, MICHELE, ELISSA | Individual | – | CHIEF COMPLIANCE OFFICER | 09/2022 | < 5% |
| VAN HASSEL, GILBERT | Individual | – | EXECUTIVE CHAIRMAN | 09/2022 | < 5% |
| ABRAMS, JEFFREY, BRIAN | Individual | – | HEAD OF PRIVATE CREDIT | 12/2022 | < 5% |