Hedge Fund Database

PZENA INVESTMENT MANAGEMENT LLC

Adviser information for PZENA INVESTMENT 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 156
Investment Advisory/Research 51
Registered Broker-Dealer Representatives 17
Registered State Investment Advisers 1
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 224 $58.0B
Non-Discretionary 1 $867.9M
Total 225 $58.9B

Clients

Type Number RAUM
Individuals 9 $4.2M
HNW Individuals 30 $93.4M
Banking or thrift institutions 0 $0
Investment companies 19 $21.7B
Business development companies 0 $0
Pooled investment vehicles 53 $19.5B
Pension and profit sharing plans 28 $3.2B
Charitable organizations 20 $313.8M
State or municipal gov entities 26 $11.3B
Other investment advisers 5 $1.1B
Insurance companies 5 $647.3M
Sovereign wealth funds and foreign official institutions 1 $164.9M
Corporations or other businesses 29 $744.2M
Other 0 $0
Type Number
No. of Non-RAUM Clients 37
No. of Non-U.S. Clients 25

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 clients
Compensation % of AUMPerformance-based fees

Identifiers

SEC RIA File Number 801-50838
SEC ERA File Number 801-50838
SEC CIK Numbers 1027796
SEC CRD Numbers 106847
Legal Entity Identifier 6735QA45DYBXWQO11N07

Principal Office

320 PARK AVENUE, 8TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 8:30 AM TO 5:30 PM
Tel: 212-355-1600, Fax: 212-308-0010

Websites

www.linkedin.com/company/pzena-investment-management/ twitter.com/pzenainvstmtmgt www.facebook.com/pzena-investment-management-1154435421292152/ www.pzena.com

Chief Compliance Officer

STEVEN M. COFFEY
CHIEF LEGAL RISK OFFICER AND CHIEF COMPLIANCE OFFICER
320 PARK AVENUE, 8TH FLOOR
NEW YORK
NY
United States
Tel: 646-344-8454
Fax: 212-308-0010
(Full email address available in API data)

Regulatory Contact

BILL ZOIS
DIRECTOR OF COMPLIANCE
320 PARK AVENUE, 8TH FLOOR
NEW YORK
NY
United States
Tel: 646-344-8455
Fax: 212-308-0010
(Full email address available in API data)

Industry Affiliates

PZENA FINANCIAL SERVICES, LLC Broker-dealer, municipal securities dealer, or gov securities broker or dealer
PZENA FOCUSED CREDIT OPPORTUNITIES FUND(GP), LLC Sponsor, GP, manager of pooled investment vehicles
PZENA GLOBAL BEST IDEAS (GP), LLC Sponsor, GP, manager of pooled investment vehicles
PZENA INVESTMENT MANAGEMENT EUROPE LIMITED Other investment adviser, including financial planners
PZENA U.S. BEST IDEAS (GP), LLC Sponsor, GP, manager of pooled investment vehicles

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
PZENA EMERGING MARKETS FOCUSED VALUE FUND (GT), A SEPARATE INVESTMENT FUND OF PZENA VALUE GROUP TRUST LONG EQUITY $97.6M $5.0M 1
PZENA FOCUSED CREDIT OPPORTUNITIES MASTER FUND, LP Hedge Fund $33.3M $5.0M 9
PZENA GLOBAL BEST IDEAS FUND, LP Hedge Fund $45.2M $5.0M 6
PZENA GLOBAL VALUE FUND (DST), A SERIES OF PZENA VALUE TRUST LONG EQUITY $7.5M $5.0M 3
PZENA GLOBAL VALUE FUND 2 (DST), A SERIES OF PZENA TRUST LONG EQUITY $288.2M $5.0M 2
PZENA INTERNATIONAL (EX U.S.) FOCUSED VALUE FUND (DST) LONG EQUITY $78.0M $5.0M 4
PZENA U.S. BEST IDEAS FUND, LP Hedge Fund $105.2M $5.0M 12

Control Persons

Name Type Entity Title Since Ownership
GOETZ, JOHN, PAUL Individual – CO-CHIEF INVESTMENT OFFICER 06/1996 < 5%
PZENA, RICHARD, STANTON Individual – CHAIRMAN; CO-CHIEF INVESTMENT OFFICER 12/1995 < 5%
LIPSEY, WILLIAM, LOUIS Individual – VICE CHAIRMAN 02/1997 < 5%
PZENA INVESTMENT MANAGEMENT, LP Domestic Entity – MEMBER WITH CLASS B UNITS 01/2016 > 75%
PZENA, RICHARD, STANTON Individual PZENA INVESTMENT MANAGEMENT, LP LIMITED PARTNER 01/2016 50-75%
DORAN, JESSICA, RYAN Individual – CHIEF FINANCIAL OFFICER 07/2016 < 5%
CAI, CHENYU, CAROLINE Individual – CHIEF EXECUTIVE OFFICER 02/2019 < 5%
FIRE, EVAN, KEITH Individual – CHIEF OPERATING OFFICER 09/2019 < 5%
PZENA INVESTMENT MANAGEMENT GP, LLC Domestic Entity PZENA INVESTMENT MANAGEMENT, LP GENERAL PARTNER 10/2022
COFFEY, STEVEN, MARK Individual – CHIEF LEGAL RISK OFFICER AND CHIEF COMPLIANCE OFFICER 01/2023 < 5%
BAUER, GEOFFREY, JACOB Individual – CHIEF LEGAL OFFICER 01/2023 < 5%
FISCH, ALLISON, JILL Individual – PRESIDENT 01/2023 < 5%

No. Employees, Historic

2001000202020212022202320242025121 on 3/27/2020121 on 6/26/2020127 on 3/30/2021146 on 3/31/2022146 on 4/12/2022146 on 11/23/2022146 on 1/30/2023148 on 3/29/2023148 on 1/18/2024156 on 3/28/2024

RAUM, Historic

60B30B020202021202220232024202539209205247 on 3/27/202039209205247 on 6/26/202041135560953 on 3/30/202150648280816 on 3/31/202250648280816 on 4/12/202250648280816 on 11/23/202250648280816 on 1/30/202349298577287 on 3/29/202349298577287 on 1/18/202458864978960 on 3/28/2024

No. Clients, Historic

3001500202020212022202320242025252 on 3/27/2020252 on 6/26/2020220 on 3/30/2021216 on 3/31/2022216 on 4/12/2022216 on 11/23/2022216 on 1/30/2023228 on 3/29/2023228 on 1/18/2024225 on 3/28/2024

Holdings

From latest 13F, filed August 2nd, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ABM INDS INC COM 21M 416K –
ACUITY BRANDS INC COM 353K 1K –
ADIENT PLC ORD SHS 48M 2M –
ADVANCE AUTO PARTS INC COM 77M 1M –
ALIBABA GROUP HLDG LTD SPONSORED ADS 5M 66K –
AMBEV SA SPONSORED ADR 38M 18M –
AMDOCS LTD SHS 10M 133K ALPS Advisers, Inc.
AMDOCS LTD SHS 437M 6M –
AMERICAN INTL GROUP INC COM NEW 35M 475K –
AMERICAN WOODMARK CORPORATIO COM 24M 304K –
ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH 575K 25K –
ARROW ELECTRS INC COM 27M 221K –
ASSOCIATED BANC CORP COM 53M 3M –
ATMOS ENERGY CORP COM 316K 3K –
AVNET INC COM 442M 9M –
AXALTA COATING SYS LTD COM 64M 2M –
AXIS CAP HLDGS LTD SHS 107M 2M –
BAIDU INC SPON ADR REP A 27M 310K –
BANK AMERICA CORP COM 14M 343K ALPS Advisers, Inc.
BANK AMERICA CORP COM 775M 19M –
BARCLAYS PLC ADR 1M 98K –
BAXTER INTL INC COM 16M 486K ALPS Advisers, Inc.
BAXTER INTL INC COM 1B 30M –
BELDEN INC COM 70M 744K –
BREAD FINANCIAL HOLDINGS INC COM 28M 637K –
BRISTOL-MYERS SQUIBB CO COM 10M 247K ALPS Advisers, Inc.
BRISTOL-MYERS SQUIBB CO COM 577M 14M –
C H ROBINSON WORLDWIDE INC COM NEW 77M 878K –
CAPITAL ONE FINL CORP COM 14M 105K ALPS Advisers, Inc.
CAPITAL ONE FINL CORP COM 945M 7M –
CARDINAL HEALTH INC COM 65M 665K –
CBRE GROUP INC CL A 60M 671K –
CHARTER COMMUNICATIONS INC N CL A 12M 41K ALPS Advisers, Inc.
CHARTER COMMUNICATIONS INC N CL A 892M 3M –
CIA ENERGETICA DE MINAS GERA SP ADR N-V PFD 3M 2M –
CISCO SYS INC COM 49M 1M –
CITIGROUP INC COM NEW 20M 310K ALPS Advisers, Inc.
CITIGROUP INC COM NEW 952M 15M –
CNO FINL GROUP INC COM 167M 6M –
COGNIZANT TECHNOLOGY SOLUTIO CL A 12M 181K ALPS Advisers, Inc.
COGNIZANT TECHNOLOGY SOLUTIO CL A 1B 18M –
COLUMBIA BKG SYS INC COM 48M 2M –
COMCAST CORP NEW CL A 201K 5K –
COMERICA INC COM 22M 434K –
CONCENTRIX CORP COM 94M 1M –
COREBRIDGE FINL INC COM 42M 1M –
CREDICORP LTD COM 151M 935K –
CVS HEALTH CORP COM 14M 230K ALPS Advisers, Inc.
CVS HEALTH CORP COM 750M 13M –
DANA INC COM 39M 3M –
DELL TECHNOLOGIES INC CL C 302K 2K –
DIAMONDROCK HOSPITALITY CO COM 75M 9M –
DISNEY WALT CO COM 27M 271K –
DOCUSIGN INC COM 434K 8K –
DOLLAR GEN CORP NEW COM 11M 80K ALPS Advisers, Inc.
DOLLAR GEN CORP NEW COM 234M 2M –
DOLLAR TREE INC COM 291K 3K –
DOUGLAS DYNAMICS INC COM 33M 1M –
DOW INC COM 19M 356K ALPS Advisers, Inc.
DOW INC COM 982M 19M –
DROPBOX INC CL A 432K 19K –
EDISON INTL COM 12M 171K ALPS Advisers, Inc.
EDISON INTL COM 912M 13M –
ELEVANCE HEALTH INC COM 104M 192K –
ENTERGY CORP NEW COM 12M 111K –
EQUINOR ASA SPONSORED ADR 535K 19K –
EQUITABLE HLDGS INC COM 13M 330K ALPS Advisers, Inc.
EQUITABLE HLDGS INC COM 748M 18M –
EXXON MOBIL CORP COM 68M 595K –
FIDELITY NATIONAL FINANCIAL FNF GROUP COM 50M 1M –
FIFTH THIRD BANCORP COM 43M 1M –
FMC CORP COM NEW 33M 577K –
FRESENIUS MEDICAL CARE AG SPONSORED ADR 14M 739K ALPS Advisers, Inc.
FRESENIUS MEDICAL CARE AG SPONSORED ADR 295M 15M –
GAP INC COM 34M 1M –
GENERAL DYNAMICS CORP COM 78M 270K –
GENESCO INC COM 32M 1M –
GENPACT LIMITED SHS 37M 1M –
GILDAN ACTIVEWEAR INC COM 52M 1M –
GILEAD SCIENCES INC COM 315K 5K –
GLOBAL PMTS INC COM 12M 128K ALPS Advisers, Inc.
GLOBAL PMTS INC COM 609M 6M –
GLOBE LIFE INC COM 77M 930K –
GOLDMAN SACHS GROUP INC COM 8M 18K ALPS Advisers, Inc.
GOLDMAN SACHS GROUP INC COM 191M 422K –
HALLIBURTON CO COM 52M 2M –
HARTFORD FINL SVCS GROUP INC COM 208K 2K –
HDFC BANK LTD SPONSORED ADS 20M 311K –
HENRY SCHEIN INC COM 63M 990K –
HOOKER FURNISHINGS CORPORATI COM 18M 1M –
HOULIHAN LOKEY INC CL A 467K 3K –
HSBC HLDGS PLC SPON ADR NEW 737K 17K –
HUMANA INC COM 15M 40K ALPS Advisers, Inc.
HUMANA INC COM 851M 2M –
ICICI BANK LIMITED ADR 10M 333K –
ING GROEP N.V. SPONSORED ADR 922K 54K –
INTEL CORP COM 396K 13K –
INTERFACE INC COM 25M 2M –
INVESCO LTD SHS 13M 887K –
ITAU UNIBANCO HLDG S A SPON ADR REP PFD 1M 231K –
ITURAN LOCATION AND CONTROL SHS 558K 23K –
JELD-WEN HLDG INC COM 126M 9M –
JOHNSON & JOHNSON COM 34M 230K –
JPMORGAN CHASE & CO. COM 8M 41K ALPS Advisers, Inc.
JPMORGAN CHASE & CO. COM 186M 919K –
KASPI KZ JSC SPONSORED ADS 112M 868K –
KB FINL GROUP INC SPONSORED ADR 2M 39K –
KEYCORP COM 25M 2M –
KONINKLIJKE PHILIPS N V NY REGIS SHS NEW 346K 14K –
KOPPERS HOLDINGS INC COM 15M 401K –
KORN FERRY COM NEW 70M 1M –
LEAR CORP COM NEW 13M 110K ALPS Advisers, Inc.
LEAR CORP COM NEW 808M 7M –
LEIDOS HOLDINGS INC COM 73M 503K –
LPL FINL HLDGS INC COM 430K 2K –
MAGNA INTL INC COM 19M 339K ALPS Advisers, Inc.
MAGNA INTL INC COM 1B 21M –
MALIBU BOATS INC COM CL A 52M 1M –
MANPOWERGROUP INC WIS COM 25M 351K –
MARCUS & MILLICHAP INC COM 20M 642K –
MASTERBRAND INC COMMON STOCK 41M 3M –
MCKESSON CORP COM 39M 67K –
MEDTRONIC PLC SHS 10M 128K ALPS Advisers, Inc.
MEDTRONIC PLC SHS 644M 8M –
METLIFE INC COM 12M 172K ALPS Advisers, Inc.
METLIFE INC COM 665M 9M –
MOHAWK INDS INC COM 124M 1M –
MORGAN STANLEY COM NEW 73M 750K –
MRC GLOBAL INC COM 74M 6M –
MSC INDL DIRECT INC CL A 37M 462K –
NATWEST GROUP PLC SPONS ADR 648K 81K –
NEWELL BRANDS INC COM 5M 783K ALPS Advisers, Inc.
NEWELL BRANDS INC COM 331M 52M –
NOKIA CORP SPONSORED ADR 312M 83M –
NOV INC COM 8M 442K ALPS Advisers, Inc.
NOV INC COM 660M 35M –
OLD NATL BANCORP IND COM 54M 3M –
OLIN CORP COM PAR $1 130M 3M –
ORION S.A. COM 59M 3M –
PETROLEO BRASILEIRO SA PETRO SP ADR NON VTG 2M 168K –
PFIZER INC COM 10M 367K ALPS Advisers, Inc.
PFIZER INC COM 193M 7M –
PHIBRO ANIMAL HEALTH CORP CL A COM 31M 2M –
PVH CORPORATION COM 6M 57K ALPS Advisers, Inc.
PVH CORPORATION COM 589M 6M –
QORVO INC COM 505K 4K –
REGIONS FINANCIAL CORP NEW COM 38M 2M –
REINSURANCE GRP OF AMERICA I COM NEW 915K 4K –
RESIDEO TECHNOLOGIES INC COM 64M 3M –
ROBERT HALF INC. COM 46M 724K –
SASOL LTD SPONSORED ADR 3M 353K –
SCANSOURCE INC COM 41M 928K –
SHELL PLC SPON ADS 11M 146K ALPS Advisers, Inc.
SHELL PLC SPON ADS 256M 4M –
SHINHAN FINANCIAL GROUP CO L SPN ADR RESTRD 38M 1M –
SHYFT GROUP INC COM 38M 3M –
SKYWORKS SOLUTIONS INC COM 11M 99K ALPS Advisers, Inc.
SKYWORKS SOLUTIONS INC COM 425M 4M –
SPECTRUM BRANDS HLDGS INC NE COM 102M 1M –
SS&C TECHNOLOGIES HLDGS INC COM 890M 14M –
STEELCASE INC CL A 92M 7M –
SUMITOMO MITSUI FINL GROUP I SPONSORED ADR 296K 22K –
SYNOVUS FINL CORP COM NEW 30M 758K –
T-MOBILE US INC COM 485K 3K –
TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 11M 65K –
TE CONNECTIVITY LTD SHS 8M 51K ALPS Advisers, Inc.
TE CONNECTIVITY LTD SHS 386M 3M –
THE CIGNA GROUP COM 178M 540K –
TRIMAS CORP COM NEW 58M 2M –
TRIP COM GROUP LTD ADS 19M 394K –
TRUEBLUE INC COM 30M 3M –
TYSON FOODS INC CL A 10M 172K ALPS Advisers, Inc.
TYSON FOODS INC CL A 704M 12M –
UBS GROUP AG SHS 6M 243K ALPS Advisers, Inc.
UBS GROUP AG SHS 786M 30M –
ULTA BEAUTY INC COM 324K 839 –
UNITED THERAPEUTICS CORP DEL COM 509K 2K –
UNIVERSAL CORP VA COM 50M 1M –
UNIVERSAL HLTH SVCS INC CL B 84M 455K –
UNIVEST FINANCIAL CORPORATIO COM 29M 1M –
USANA HEALTH SCIENCES INC COM 44M 977K –
VALE S A SPONSORED ADS 3M 253K –
VAREX IMAGING CORP COM 38M 3M –
VODAFONE GROUP PLC NEW SPONSORED ADR 113K 13K –
VOYA FINANCIAL INC COM 8M 111K ALPS Advisers, Inc.
VOYA FINANCIAL INC COM 254M 4M –
WABTEC COM 1M 9K ALPS Advisers, Inc.
WABTEC COM 70M 446K –
WEBSTER FINL CORP COM 76M 2M –
WELLS FARGO CO NEW COM 16M 273K ALPS Advisers, Inc.
WELLS FARGO CO NEW COM 917M 15M –
WESCO INTL INC COM 24M 149K –
WSFS FINL CORP COM 42M 900K –
ZTO EXPRESS CAYMAN INC SPONSORED ADS A 124M 6M –