PACIFIC HEIGHTS ASSET MANAGEMENT, LLC
Adviser information for PACIFIC HEIGHTS ASSET MANAGEMENT, LLC last updated from Form ADV on February 7th, 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 | California, United States |
Employees
| Total Number of Employees | 10 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 2 |
| 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 | 4 | $3.1B |
| Non-Discretionary | 0 | $0 |
| Total | 4 | $3.1B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 4 | $3.1B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 1 | $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 | 1 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companiesMODEL PORTFOLIO SERVICES |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-61673 |
|---|---|
| SEC ERA File Number | 801-61673 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 124365 |
| Legal Entity Identifier | None |
Principal Office
600 MONTGOMERY STREETSUITE 4100
SAN FRANCISCO
CA
United States
Monday - Friday, 9 AM - 5 PM
Tel: 415-398-8000, Fax: 415-398-8091
Chief Compliance Officer
SUSAN KATHRYN FREUND
600 MONTGOMERY STREET
SUITE 4100
SAN FRANCISCO
CA
United States
Tel:
415-398-8000
Fax:
415-398-8091
S****@****************M
(Full email address available in API data)
Regulatory Contact
MICHAEL JOSEPH CUGGINO
MANAGER
600 MONTGOMERY STREET
SUITE 4100
SAN FRANCISCO
CA
United States
Tel:
415-398-8000
Fax:
415-398-8091
M******@****************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ANDREWS, JAMES, HANSON | Individual | – | DIRECTOR OF FINANCE | 04/2006 | < 5% |
| FREUND, SUSAN, KATHRYN | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2010 | < 5% |
| THE MICHAEL J. CUGGINO 2008 REVOCABLE TRUST | Domestic Entity | – | TRUST | 08/2015 | < 5% |
| CUGGINO, MICHAEL, JOSEPH | Individual | – | TRUSTEE | 08/2015 | > 75% |