EVERGREEN INVESTMENT ADVISORS
EVERGREEN INVESTMENT ADVISORS LLC Legal Name
Adviser information for EVERGREEN INVESTMENT ADVISORS last updated from Form ADV on March 27th, 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 | 45 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 3 |
| 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 | 0 | $0 |
| Non-Discretionary | 3 | $10.6B |
| Total | 3 | $10.6B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 3 | $10.6B |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $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 | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-64078 |
|---|---|
| SEC ERA File Number | 801-64078 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 133550 |
| Legal Entity Identifier | None |
Principal Office
150 SOUTH WACKER DRIVESUITE 3100
CHICAGO
IL
United States
Monday - Friday, 8:30 AM TO 5:30 PM
Tel: 312-499-8500, Fax: 312-499-8585
Websites
Chief Compliance Officer
ANDREW MALLERIS
CHIEF COMPLIANCE OFFICER
150 SOUTH WACKER DRIVE
SUITE 3100
CHICAGO
IL
United States
Tel:
312-499-8533
Fax:
312-499-8586
A********@*******M
(Full email address available in API data)
Regulatory Contact
KATE PELLETIER
AML OFFICER
150 SOUTH WACKER DR
SUITE 3100
CHICAGO
IL
United States
Tel:
312-499-8576
K*********@*******M
(Full email address available in API data)
Industry Affiliates
| EVERGREEN AUSTRALIA GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| EVI MANAGEMENT LLC | Sponsor, GP, manager of pooled investment vehicles |
| M3 CAPITAL PARTNERS (UK) LLP | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| M3 INVESTMENT GROUP GESTORA DE RECURSOS LIMITADA | Other investment adviser, including financial planners |
| M3 INVESTMENT GROUP LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| TRUST ASSET MANAGEMENT LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| EVERGREEN AUSTRALIA LP | Private Equity Fund | $665.0M | $0.0M | 2 |
| EVERGREEN REAL ESTATE PARTNERS LLC | Private Equity Fund | $9,921.1M | $0.0M | 5 |
| EVERGREEN VENTURE INVESTORS LLC | Private Equity Fund | $43.8M | $0.0M | 2 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| M3 INVESTMENT GROUP LLC | Domestic Entity | – | OWNER | 03/2005 | > 75% |
| HOUSE, GARRET, CLAUDE | Individual | – | CEO | 03/2005 | < 5% |
| MALLERIS, ANDREW, JAMES | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2021 | < 5% |
| POEHLING, DANIEL, PAUL | Individual | – | CHIEF OPERATING OFFICER | 01/2021 | < 5% |