PEMBERWICK INVESTMENT ADVISORS, LLC
Adviser information for PEMBERWICK INVESTMENT ADVISORS, LLC last updated from Form ADV on March 25th, 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 | 2 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| 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 | 1 | $231.7M |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $231.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $231.7M |
| 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 | 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 investment companies |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-70231 |
|---|---|
| SEC ERA File Number | 801-70231 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 149639 |
| Legal Entity Identifier | 2549000IXMVX1ILSNM27 |
Principal Office
777 WEST PUTNAM AVENUEGREENWICH
CT
United States
Monday - Friday, 9:00 - 5:30
Tel: 203-869-0900, Fax: 203-869-9543
Chief Compliance Officer
BERNADETTE MURPHY
777 WEST PUTNAM AVENUE
GREENWICH
CT
United States
Tel:
9084518769
B******@**************M
(Full email address available in API data)
Regulatory Contact
JAME HUSSEY
CHIEF FINANCIAL OFFICER
777 WEST PUTNAM AVENUE
GREENWICH
CT
United States
Tel:
203-413-0365
Fax:
203-724-3918
H******@*****************M
(Full email address available in API data)
Industry Affiliates
| RICHMAN REAL ESTATE INVESTMENTS INC. | Sponsor or syndicator of limited partnerships |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SALZMAN, DAVID, A | Individual | – | MEMBER | 02/2009 | 25-50% |
| KRISTIN, MILLER, M | Individual | – | MEMBER | 02/2009 | 5-10% |
| HUSSEY, JAMES, P | Individual | – | CEO | 02/2009 | < 5% |
| RICHMAN, RICHARD, PAUL | Individual | – | MANAGER | 02/2009 | 10-25% |
| MYERS, BRIAN, PATRICK | Individual | – | MEMBER | 02/2009 | 5-10% |
| RICHMAN, SCOTT | Individual | – | MEMBER | 01/2013 | 10-25% |
| RICHMAN, BROOKE, SCHAPPS | Individual | – | MEMBER | 01/2013 | 10-25% |
| RICHMAN, ELLEN | Individual | – | MEMBER | 01/2013 | 25-50% |
| MURPHY, BERNADETTE | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2020 | < 5% |