Hedge Fund Database

PPM AMERICA INC

PPM AMERICA, INC. Legal Name

Adviser information for PPM AMERICA INC 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 Corporation
Fiscal Year End DECEMBER
Legal Location Delaware, United States

Employees

Total Number of Employees 209
Investment Advisory/Research 112
Registered Broker-Dealer Representatives 7
Registered State Investment Advisers 0
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 6

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 51 $72.6B
Non-Discretionary 6 $530.1M
Total 57 $73.1B

Clients

Type Number RAUM
Individuals 0 $0
HNW Individuals 0 $0
Banking or thrift institutions 0 $0
Investment companies 2 $4.0B
Business development companies 0 $0
Pooled investment vehicles 19 $9.1B
Pension and profit sharing plans <5 $116.4M
Charitable organizations 0 $0
State or municipal gov entities 0 $0
Other investment advisers <5 $2.7B
Insurance companies 14 $57.3B
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 1
No. of Non-U.S. Clients 38

Services

Advisory Services Portfolio 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 feesORIGINATION FEES FOR COMMERIAL MORTGAGE LENDING ACTIVITIES
Other Business Activities Commodity pool operator or commodity trading advisor

Identifiers

SEC RIA File Number 801-40783
SEC ERA File Number 801-40783
SEC CIK Numbers 898417
SEC CRD Numbers 107269
Legal Entity Identifier JJRYDUHUMCZ72M58YS96

Principal Office

225 WEST WACKER DRIVE
SUITE 1200
CHICAGO
IL
United States
Monday - Friday, 8 A.M TO 5 P.M.
Tel: 312-634-2500, Fax: None

Websites

www.twitter.com/ppmamerica/ www.jackson.com/the-jackson-difference/who-we-are.html www.ppmamerica.com www.linkedin.com/company/ppm-america-inc-/ www.youtube.com/channel/uccp9vgsts9z4brknfzoypag www.facebook.com/ppmamerica/

Chief Compliance Officer

THOMAS BARRUS
SVP, CHIEF COMPLIANCE OFFICER
225 W. WACKER DRIVE
CHICAGO
IL
United States
Tel: 312 634-2607
(Full email address available in API data)

Regulatory Contact

MARY T. CAPASSO
EVP, CHIEF OPERATING OFFICER AND GENERAL COUNSEL
225 W. WACKER DRIVE
CHICAGO
IL
United States
Tel: 312 843-5905
(Full email address available in API data)

Industry Affiliates

BROOKE LIFE INSURANCE COMPANY Insurance company or agency
JACKSON NATIONAL ASSET MANAGEMENT, LLC Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
JACKSON NATIONAL LIFE (BERMUDA) LIMITED Insurance company or agency
JACKSON NATIONAL LIFE DISTRIBUTORS LLC Broker-dealer, municipal securities dealer, or gov securities broker or dealer
JACKSON NATIONAL LIFE INSURANCE COMPANY Insurance company or agency
JACKSON NATIONAL LIFE INSURANCE COMPANY OF NEW YORK Insurance company or agency
PPM AMERICA CAPITAL PARTNERS III, LLC Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
PPM AMERICA CAPITAL PARTNERS IV, LLC Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
PPM AMERICA CAPITAL PARTNERS V, LLC Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
PPM AMERICA CAPITAL PARTNERS VI, LLC Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
PPM AMERICA CAPITAL PARTNERS VII, LLC Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
PPM AMERICA CAPITAL PARTNERS VIII, LLC Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
PPM LOAN MANAGEMENT COMPANY 2, LLC Other investment adviser, including financial planners
PPM POMONA CAPITAL PARTNERS, LLC Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
SQUIRE REASSURANCE COMPANY II, INC Insurance company or agency
SQUIRE REASSURANCE COMPANY LLC Insurance company or agency

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
PPM AMERICA PRIVATE EQUITY FUND III LP Private Equity Fund $55.5M $0.5M 9
PPM AMERICA PRIVATE EQUITY FUND IV LP Private Equity Fund $100.8M $0.3M 9
PPM AMERICA PRIVATE EQUITY FUND V LP Private Equity Fund $29.7M $0.3M 9
PPM AMERICA PRIVATE EQUITY FUND VI LP Private Equity Fund $213.2M $0.3M 10
PPM AMERICA PRIVATE EQUITY FUND VII LP Private Equity Fund $831.3M $0.9M 10
PPM AMERICA PRIVATE EQUITY FUND VIII LP Private Equity Fund $150.8M $0.6M 9
PPM AMERICA PRIVATE EQUITY FUND VIII-A LP Private Equity Fund $589.2M $225.0M 2

Control Persons

Name Type Entity Title Since Ownership
PPM HOLDINGS, INC. Domestic Entity – SOLE SHAREHOLDER OF APPLICANT 02/1996 > 75%
JACKSON HOLDINGS LLC Domestic Entity PPM HOLDINGS, INC. SOLE SHAREHOLDER 03/2006 > 75%
BARRUS, THOMAS, RICHARD Individual – SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER 08/2014 < 5%
SMITH, CRAIG, DONALD Individual – CHAIRMAN OF THE BOARD, PRESIDENT, CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER, DIRECTOR 01/2021 < 5%
REED, ALISON, RUSS Individual – DIRECTOR 07/2016 < 5%
CAPASSO, MARY, T Individual – EXECUTIVE VICE PRESIDENT, CHIEF OPERATING OFFICER, GENERAL COUNSEL, DIRECTOR 01/2021 < 5%
JACKSON FINANCIAL INC. Domestic Entity JACKSON HOLDINGS LLC SOLE SHAREHOLDER 12/2015 > 75%
Jordan, Oliver Individual – EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER 01/2021 < 5%
Rapier, Dana, Scamarcia Individual – DIRECTOR 11/2023 < 5%
RAUB, CHRISTOPHER, ALLEN Individual – DIRECTOR 11/2023 < 5%

No. Employees, Historic

30015002019202020212022202320242025240 on 6/7/2019240 on 12/20/2019240 on 12/20/2019268 on 3/27/2020268 on 1/25/2021257 on 3/29/2021257 on 10/14/2021257 on 10/14/2021218 on 3/29/2022218 on 4/26/2022218 on 11/3/2022217 on 3/30/2023217 on 7/17/2023217 on 7/17/2023217 on 12/8/2023209 on 3/28/2024

RAUM, Historic

200B100B02019202020212022202320242025108404150918 on 6/7/2019108404150918 on 12/20/2019108404150918 on 12/20/2019129790722463 on 3/27/2020129790722463 on 1/25/2021106257949553 on 3/29/2021106257949553 on 10/14/2021106257949553 on 10/14/202179332051129 on 3/29/202279332051129 on 4/26/202279332051129 on 11/3/202271536517398 on 3/30/202371536517398 on 7/17/202371536517398 on 7/17/202371536517398 on 12/8/202373144844083 on 3/28/2024

No. Clients, Historic

40200201920202021202220232024202534 on 6/7/201934 on 12/20/201934 on 12/20/201935 on 3/27/202035 on 1/25/202131 on 3/29/202131 on 10/14/202131 on 10/14/202134 on 3/29/202234 on 4/26/202234 on 11/3/202235 on 3/30/202335 on 7/17/202335 on 7/17/202335 on 12/8/202337 on 3/28/2024

Holdings

From latest 13F, filed August 12th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
Amplify Energy Corp Amplify Energy Corp 564K 83K Jackson Financial Inc.
Clear Channel Outdoo Clear Channel Outdoor Holdings 1M 714K Jackson Financial Inc.
Duckhorn Portfolio I Duckhorn Portfolio Inc/The 2M 293K Jackson Financial Inc.
iHeartMedia Inc iHeartMedia Inc 327K 300K Jackson Financial Inc.
MPLX LP MPLX LP 4M 89K Jackson Financial Inc.
Sangoma Technologies Sangoma Technologies Corp 4M 689K Jackson Financial Inc.