PFM ASSET MANAGEMENT LLC
Adviser information for PFM ASSET MANAGEMENT LLC last updated from Form ADV on March 29th, 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 | 244 |
|---|---|
| Investment Advisory/Research | 215 |
| Registered Broker-Dealer Representatives | 105 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 2 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,584 | $176.3B |
| Non-Discretionary | 368 | $544.8M |
| Total | 1,952 | $176.9B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | <5 | $206.0M |
| Investment companies | 1 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 20 | $62.2B |
| Pension and profit sharing plans | 14 | $6.6B |
| Charitable organizations | 36 | $1.8B |
| State or municipal gov entities | 702 | $81.9B |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 16 | $609.4M |
| Other | 67 | $23.6B |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 121 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)ADVICE TO CLIENTS ON MATTERS NOT INVOLVING SECURITIES |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-60449 |
|---|---|
| SEC ERA File Number | 801-60449 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 122141 |
| Legal Entity Identifier | 254900HFWF3T7WOCKE43 |
Principal Office
213 MARKET STREETHARRISBURG
PA
United States
Monday - Friday, 8:30 A.M. - 5:30 P.M. ET
Tel: 717-231-6200, Fax: 717-233-6073
Chief Compliance Officer
LEO J. KARWEJNA
MANAGING DIRECTOR
213 MARKET STREET
HARRISBURG
PA
United States
Tel:
717-231-6200
Fax:
717-233-6073
L***********@*********M
(Full email address available in API data)
Regulatory Contact
JENNIFER KRUGER BERRIER
DEPUTY CCO
213 MARKET STREET
HARRISBURG
PA
United States
Tel:
717-231-6200
Fax:
717-233-6073
J***************@*********M
(Full email address available in API data)
Industry Affiliates
| PFM FUND DISTRIBUTORS, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| U.S. BANCORP ASSET MANAGEMENT, INC. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| U.S. BANCORP INVESTMENTS, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersInsurance company or agency |
| U.S. BANK NATIONAL ASSOCIATION | Broker-dealer, municipal securities dealer, or gov securities broker or dealerRegistered security-based swap dealerBanking or thrift institution |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| KARWEJNA, LEO, JOSEPH | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2011 | < 5% |
| SCHIEBEL, KENNETH, ERIC | Individual | – | CHIEF INVESTMENT OFFICER | 12/2021 | < 5% |
| MOLLOY, JOHN, WILLIAM | Individual | – | CHIEF ADMNISTRATIVE OFFICER | 12/2021 | < 5% |
| U.S. BANCORP ASSET MANAGEMENT, INC. | Domestic Entity | – | SHAREHOLDER | 12/2021 | > 75% |
| U.S. BANK NATIONAL ASSOCIATION | Domestic Entity | U.S. BANCORP ASSET MANAGEMENT, INC. | SHAREHOLDER | 03/2001 | > 75% |
| THOLE, ERIC, JAMES | Individual | – | CEO & PRESIDENT | 12/2021 | < 5% |
| ERTEL, RICHARD, JUDE | Individual | – | CHIEF COUNSEL & SECRETARY | 12/2021 | < 5% |
| STEVENSON, JILL, MICHELE | Individual | – | TREASURER | 12/2021 | < 5% |
| U.S. BANCORP | Domestic Entity | U.S. BANK NATIONAL ASSOCIATION | SHAREHOLDER | 07/1958 | > 75% |