PGIA
PERPETUAL US SERVICES, LLC Legal Name
Adviser information for PGIA last updated from Form ADV on March 25th, 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 | 18 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 6 |
| 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 | 7 | $528.4M |
| Non-Discretionary | 0 | $0 |
| Total | 7 | $528.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 7 | $528.4M |
| 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 | 7 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companies |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-122747 |
|---|---|
| SEC ERA File Number | 801-122747 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 317365 |
| Legal Entity Identifier | None |
Principal Office
155 NORTH WACKER DRIVESUITE 4250
CHICAGO
IL
United States
Monday - Friday, 8:00 AM- 5:00PM CST
Tel: 312-702-0696, Fax: None
Websites
Chief Compliance Officer
CHRISTOPHER GOLDEN
HEAD OF LEGAL, COMPLIANCE & RISK US
155 N. WACKER
SUITE 4250
CHICAGO
IL
United States
Tel:
312-505-2097
Fax:
N/A
C***********@************M
(Full email address available in API data)
Regulatory Contact
ERICA DAY
COMPLIANCE ANALYST
155 N. WACKER DRIVE
SUITE 4250
CHICAGO
IL
United States
E********@************M
(Full email address available in API data)
Industry Affiliates
| BARROW HANLEY GLOBAL INVESTORS | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| JOHCM (USA) INC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PERPETUAL INVESTMENT MANAGEMENT LIMITED | Other investment adviser, including financial planners |
| THOMPSON SIEGEL & WALMSLEY LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| TRILLIUM ASSET MANAGEMENT | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| PERPETUAL US HOLDING COMPANY, INC. | Domestic Entity | – | HOLDING COMPANY, SOLE MEMBER | 03/2020 | > 75% |
| GOLDEN, CHRISTOPHER, MARK | Individual | – | CHIEF COMPLIANCE OFFICER, DIRECTOR PERPETUAL US HOLDING COMPANY | 02/2022 | < 5% |
| Green, Christopher, Joseph Kelly | Individual | – | OFFICER, DIRECTOR PERPETUAL US HOLDING COMPANY | 03/2020 | < 5% |
| PERPETUAL ACQUISITION COMPANY LTD | Foreign Entity | PERPETUAL US HOLDING COMPANY, INC. | SHAREHOLDER | 03/2020 | > 75% |
| PERPETUAL LTD. | Foreign Entity | PERPETUAL ACQUISITION COMPANY LTD | SHAREHOLDER | 03/2020 | > 75% |
| JANVIER, GENE, R. | Individual | – | HEAD OF DISTRIBUTION, PERPETUAL AMERICAS | 06/2023 | < 5% |
| LO PROTO, ALLAN, JAY | Individual | – | OFFICER, DIRECTOR PERPETUAL US HOLDING COMPANY | 08/2023 | < 5% |