PALLADIUM HERITAGE MANAGEMENT, LLC
Adviser information for PALLADIUM HERITAGE MANAGEMENT, 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 | 0 |
| 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 | 2 | $43.8M |
| Non-Discretionary | 0 | $0 |
| Total | 2 | $43.8M |
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 | 2 | $43.8M |
| 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 feesRECEIVE ADVISORY, MONITORING AND SIMILAR FEES |
Identifiers
| SEC RIA File Number | 801-125771 |
|---|---|
| SEC ERA File Number | 801-125771 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 321623 |
| Legal Entity Identifier | None |
Principal Office
1270 AVENUE OF THE AMERICAS31ST FLOOR
NEW YORK
NY
United States
Monday - Friday, 9:00AM - 6:00PM EST
Tel: (212) 218-5150, Fax: 212-218-5155
Websites
Chief Compliance Officer
DOMINICK BARBIERI
GENERAL COUNSEL AND CCO
1270 AVENUE OF THE AMERICAS
31ST FLOOR
NEW YORK
NY
United States
Tel:
(212) 218-5121
Fax:
(212) 218-5155
D********@******************M
(Full email address available in API data)
Industry Affiliates
| PALLADIUM EQUITY PARTNERS ADVISOR, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PALLADIUM HERITAGE GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| PALLADIUM HERITAGE (PARALLEL) FUND, L.P. | Private Equity Fund | $0.5M | $5.0M | 25 |
| PALLADIUM HERITAGE FUND, L.P. | Private Equity Fund | $38.5M | $5.0M | 25 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| WONG, SUZANNE, (NMN) | Individual | – | CHIEF FINANCIAL OFFICER | 02/2022 | < 5% |
| BARBIERI, DOMINICK, DANIEL | Individual | – | GENERAL COUNSEL / CHIEF COMPLIANCE OFFICER | 02/2022 | < 5% |
| PALLADIUM FIRMCO, LLC | Domestic Entity | PALLADIUM INVESTMENT PARTNERS, LLC | MANAGING MEMBER | 06/2021 | > 75% |
| PALLADIUM FEE SILO, LLC | Domestic Entity | PALLADIUM FIRMCO, LLC | SOLE MEMBER | 06/2021 | > 75% |
| PALLADIUM TOPCO, LLC | Domestic Entity | PALLADIUM FEE SILO, LLC | SOLE MEMBER | 06/2021 | > 75% |
| PALLADIUM INVESTMENT, LLC | Domestic Entity | PALLADIUM TOPCO, LLC | SOLE MEMBER | 06/2021 | > 75% |
| PALLADIUM MANAGER, LLC | Domestic Entity | PALLADIUM TOPCO, LLC | MANAGER | 06/2021 | |
| LEHMAN, KATHERINE, ANNE | Individual | – | CHIEF EXECUTIVE OFFICER | 02/2022 | < 5% |
| PALLADIUM HERITAGE, LLC | Domestic Entity | – | SOLE MEMBER | 08/2022 | > 75% |
| LEHMAN, KATHERINE, ANNE | Individual | PALLADIUM HERITAGE, LLC | MANAGING MEMBER | 08/2022 | 50-75% |
| PALLADIUM INVESTMENT PARTNERS, LLC | Domestic Entity | PALLADIUM HERITAGE, LLC | MEMBER | 08/2022 | 25-50% |