Hedge Fund Database

BROOKFIELD PUBLIC SECURITIES GROUP LLC

Adviser information for BROOKFIELD PUBLIC SECURITIES GROUP 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 118
Investment Advisory/Research 39
Registered Broker-Dealer Representatives 11
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 478 $21.7B
Non-Discretionary 0 $0
Total 478 $21.7B

Clients

Type Number RAUM
Individuals 289 $130.7M
HNW Individuals 12 $352.7M
Banking or thrift institutions <5 $0
Investment companies 29 $2.9B
Business development companies 0 $0
Pooled investment vehicles 95 $9.7B
Pension and profit sharing plans 8 $563.6M
Charitable organizations <5 $33.9M
State or municipal gov entities <5 $998.0M
Other investment advisers <5 $0
Insurance companies 15 $5.9B
Sovereign wealth funds and foreign official institutions <5 $499.3M
Corporations or other businesses 13 $561.4M
Other 9 $52.7M
Type Number
No. of Non-RAUM Clients 75
No. of Non-U.S. Clients 20

Services

Advisory Services Portfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)
Compensation % of AUMFixed feesPerformance-based fees
Other Business Activities Commodity pool operator or commodity trading advisor

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 0
Portfolio Manager 130.7M
Both for Same 0
Portfolio Manager to Program Sponsor
UBS ACCESS UBS FINANCIAL SERVICES INC.
MASTERS INVESTMENT CONSULTING SERVICES WELLS FARGO CLEARING SERVICES, LLC
THIRD PARTY MODELS PROGRAM ENVESTNET PMC
LOCKWOOD ADVISORS PERSHING LLC
MORGAN STANLEY CONSULTING GROUP SELECT UMA MORGAN STANLEY
HIGHTOWER ADVISORS LLC HIGHTOWER ADVISORS, LLC
STRATEGIC WEALTH PORTFOLIO UBS FINANCIAL SERVICES INC.
ADVISOR ALLOCATION PROGRAM UBS FINANCIAL SERVICES INC.
PERSONALIZED UMA - SINGLE STRATEGY WELLS FARGO CLEARING SERVICES, LLC
PERSONALIZED UMA - MULTI-STRATEGY WELLS FARGO CLEARING SERVICES, LLC

Identifiers

SEC RIA File Number 801-34605
SEC ERA File Number 801-34605
SEC CIK Numbers 1273887
SEC CRD Numbers 110497, 110497
Legal Entity Identifier IWRPHSOCNXSI3QXAB332

Principal Office

BROOKFIELD PLACE
225 LIBERTY STREET
NEW YORK
NY
United States
Monday - Friday, 8:00 A.M. TO 6:00 P.M.
Tel: 212-549-8400, Fax: 212-549-8300

Websites

publicsecurities.brookfield.com/

Chief Compliance Officer

BRIAN T. HOURIHAN
MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER AND REGULATORY COUNSEL
BROOKFIELD PLACE
225 LIBERTY STREET
NEW YORK
NY
United States
Tel: 212-549-8497
Fax: 212-549-8300
(Full email address available in API data)

Regulatory Contact

BRIAN F. HURLEY
GENERAL COUNSEL
BROOKFIELD PLACE
225 LIBERTY STREET
NEW YORK
NY
United States
Tel: 212-549-8408
(Full email address available in API data)

Industry Affiliates

BROOKFIELD ASSET MANAGEMENT INSURANCE ADVISOR LLC Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
BROOKFIELD ASSET MANAGEMENT PIC ADVISER (PRIVATE EQUITY), L.P. Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
BROOKFIELD ASSET MANAGEMENT PIC BMG, LLC Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
BROOKFIELD ASSET MANAGEMENT PIC CANADA, LP Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
BROOKFIELD ASSET MANAGEMENT PIC US, LLC Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
BROOKFIELD ASSET MGMT PRIVATE INST CAPITAL ADVISER (CREDIT), LLC Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
BROOKFIELD BHS ADVISORS (UK) LIMITED Other investment adviser, including financial planners
BROOKFIELD INVESTMENT MANAGEMENT (CANADA) ULC Other investment adviser, including financial planners
BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC Broker-dealer, municipal securities dealer, or gov securities broker or dealer
BROOKFIELD PRIVATE ADVISORS LLC Broker-dealer, municipal securities dealer, or gov securities broker or dealer
BROOKFIELD RENEWABLE ENERGY GROUP LLC Other investment adviser, including financial planners
CRYSTAL RIVER CAPITAL ADVISERS LLC Other investment adviser, including financial planners
OAKTREE CAPITAL MANAGEMENT, L.P. Other investment adviser, including financial planners
OAKTREE FUND ADVISORS, LLC Other investment adviser, including financial planners
SERA GLOBAL SECURITIES CANADA LP Broker-dealer, municipal securities dealer, or gov securities broker or dealer
SERA GLOBAL SECURITIES UK LP Broker-dealer, municipal securities dealer, or gov securities broker or dealer
SERA GLOBAL SECURITIES US LLC Broker-dealer, municipal securities dealer, or gov securities broker or dealer

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
BROOKFIELD GLOBAL LISTED INFRASTRUCTURE CONCENTRATED SMA LP INFRASTRUCTURE EQUITY FUND $225.4M $0.0M 2
BROOKFIELD REAL ASSETS HYBRID MASTER FUND L.P. REAL ASSETS FUND $228.7M $0.1M 815
BROOKFIELD REAL ASSETS HYBRID QIAIF FUND REAL ASSETS FUND $36.4M $0.1M 3

Control Persons

Name Type Entity Title Since Ownership
BROOKFIELD PUBLIC SECURITIES GROUP HOLDINGS LLC Domestic Entity – SOLE MEMBER OF BROOKFIELD PUBLIC SECURITIES GROUP LLC 01/2019 > 75%
BROOKFIELD ASSET MANAGEMENT ULC Foreign Entity BROOKFIELD US HOLDINGS INC OWNER 12/2022 > 75%
BROOKFIELD ASSET MANAGEMENT LTD. Foreign Entity BROOKFIELD ASSET MANAGEMENT ULC OWNER 12/2022 25-50%
BROOKFIELD US INC Domestic Entity BROOKFIELD PUBLIC SECURITIES GROUP HOLDINGS LLC OWNER 11/2010 > 75%
BROOKFIELD US HOLDINGS INC Foreign Entity BROOKFIELD US INC OWNER 12/2005 > 75%
LEVI, DAVID, WILLIAM Individual – CHIEF EXECUTIVE OFFICER 07/2019 < 5%
HURLEY, BRIAN, FITZGERALD Individual – GENERAL COUNSEL 10/2017 < 5%
HOURIHAN, BRIAN, THOMAS Individual – CHIEF COMPLIANCE OFFICER AND REGULATORY COUNSEL 12/2017 < 5%
BROOKFIELD CORPORATION Foreign Entity BROOKFIELD ASSET MANAGEMENT ULC OWNER 12/2022 > 75%

No. Employees, Historic

20010002019202020212022202320242025139 on 7/2/2019139 on 7/3/2019139 on 7/5/2019139 on 11/18/2019139 on 1/24/2020140 on 3/30/2020140 on 6/23/2020145 on 3/31/2021145 on 11/10/2021121 on 3/31/2022121 on 8/9/2022126 on 3/31/2023126 on 6/30/2023126 on 2/9/2024118 on 3/28/2024

RAUM, Historic

30B15B0201920202021202220232024202513136212958 on 7/2/201913136212958 on 7/3/201913136212958 on 7/5/201913136212958 on 11/18/201913136212958 on 1/24/202014438069850 on 3/30/202014438069850 on 6/23/202017377234589 on 3/31/202117377234589 on 11/10/202121105228763 on 3/31/202221105228763 on 8/9/202221952239501 on 3/31/202321952239501 on 6/30/202321952239501 on 2/9/202421663734415 on 3/28/2024

No. Clients, Historic

2,0001,000020192020202120222023202420251045 on 7/2/20191045 on 7/3/20191045 on 7/5/20191045 on 11/18/20191045 on 1/24/2020806 on 3/30/2020806 on 6/23/2020522 on 3/31/2021522 on 11/10/2021539 on 3/31/2022539 on 8/9/2022519 on 3/31/2023519 on 6/30/2023519 on 2/9/2024470 on 3/28/2024

Holdings

From latest 13F, filed August 14th, 2020 for period ending September 30th, 2019
Name Class Value $USD # Shares Private Fund
CAESARS ENTMT CORP COM 31K 3M BROOKFIELD ASSET MANAGEMENT INC.