ALLIANZ GLOBAL INVESTORS U.S. LLC
Adviser information for ALLIANZ GLOBAL INVESTORS U.S. LLC last updated from Form ADV on March 31st, 2023. 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 | 51 |
|---|---|
| Investment Advisory/Research | 15 |
| 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 | 11 | $5.0B |
| Non-Discretionary | 0 | $0 |
| Total | 11 | $5.0B |
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 | $184.1M |
| 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 | 5 | $760.5M |
| Sovereign wealth funds and foreign official institutions | 3 | $4.0B |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 18 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)RESEARCH AND CONSULTING SERVICES |
|---|---|
| Compensation | % of AUMFixed feesPerformance-based feesINVESTMENT MODEL DELIVERY SERVICES |
| Other Business Activities | Registered representative of a broker-dealerCommodity pool operator or commodity trading advisor |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 0 |
Identifiers
| SEC RIA File Number | 801-69803 |
|---|---|
| SEC ERA File Number | 801-69803 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 149003 |
| Legal Entity Identifier | 549300QJHGSKBIX1VE40 |
Principal Office
1633 BROADWAY43RD FLOOR
NEW YORK
NY
United States
Monday - Friday, 9:00 AM TO 5:00 PM EST
Tel: 212-739-3000, Fax: 212-739-3948
Websites
Chief Compliance Officer
JOHN VIGGIANO
1633 BROADWAY
43RD FLOOR
NEW YORK
NY
United States
Tel:
212-739-3221
Fax:
212-739-3966
J************@************M
(Full email address available in API data)
Regulatory Contact
JOHN VIGGIANO
CHIEF LEGAL OFFICER, MANAGING DIRECTOR
1633 BROADWAY
43RD FLOOR
NEW YORK
NY
United States
Tel:
212-739-3221
Fax:
212-739-3966
J************@************M
(Full email address available in API data)
Industry Affiliates
| ALLIANZ CAPITAL PARTNERS GMBH | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| ALLIANZ CAPITAL PARTNERS OF AMERICA LLC | Other investment adviser, including financial planners |
| ALLIANZ GLOBAL INVESTORS ASIA PACIFIC LIMITED | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| ALLIANZ GLOBAL INVESTORS GMBH | Other investment adviser, including financial plannersPension consultantSponsor, GP, manager of pooled investment vehicles |
| ALLIANZ GLOBAL INVESTORS JAPAN CO. LTD. | Other investment adviser, including financial planners |
| ALLIANZ GLOBAL INVESTORS SINGAPORE LTD. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| ALLIANZ GLOBAL INVESTORS TAIWAN LTD. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| ALLIANZ INVESTMENT MANAGEMENT LLC | Other investment adviser, including financial planners |
| ALLIANZ LIFE FINANCIAL SERVICES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| ALLIANZ US PRIVATE CREDIT SOLUTIONS GP II LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| ALLIANZ US PRIVATE CREDIT SOLUTIONS GP LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| PACIFIC INVESTMENT MANAGEMENT COMPANY LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| PIMCO INVESTMENTS LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| ALLIANZGI USD INFRASTRUCTURE DEBT FUND L.P. | PARTNERSHIP | $92.6M | $10.0M | 2 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ALLIANZ GLOBAL INVESTORS U.S. HOLDINGS LLC | Domestic Entity | – | MEMBER | 12/2011 | > 75% |
| ALLIANZ SE | Foreign Entity | ALLIANZ EUROPE B.V. | SOLE STOCKHOLDER | 06/2012 | > 75% |
| ALLIANZ EUROPE B.V. | Foreign Entity | ALLIANZ OF AMERICA, INC. | SOLE STOCKHOLDER | 06/2012 | > 75% |
| VIGGIANO, JOHN, FRANCIS | Individual | – | CHIEF LEGAL OFFICER | 08/2019 | < 5% |
| PFP HOLDINGS, LLC | Domestic Entity | ALLIANZ GLOBAL INVESTORS U.S. HOLDINGS LLC | MEMBER | 04/2020 | > 75% |
| ALLIANZ OF AMERICA, INC. | Domestic Entity | PFP HOLDINGS, LLC | SOLE STOCKHOLDER | 12/2011 | > 75% |
| VIGGIANO, JOHN, FRANCIS | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2023 | < 5% |