ARBOR INVESTMENTS MANAGEMENT, LLC
Adviser information for ARBOR INVESTMENTS MANAGEMENT, LLC last updated from Form ADV on March 21st, 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 | 25 |
|---|---|
| Investment Advisory/Research | 24 |
| 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 | 9 | $3.1B |
| Non-Discretionary | 0 | $0 |
| Total | 9 | $3.1B |
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 | 9 | $3.1B |
| 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 vehiclesPORTFOLIO COMPANY MANAGEMENT SERVICES |
|---|---|
| Compensation | % of AUMPerformance-based feesSEE SCHEDULE D - MISCELLANEOUS |
Identifiers
| SEC RIA File Number | 801-73487 |
|---|---|
| SEC ERA File Number | 801-73487 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 157442 |
| Legal Entity Identifier | None |
Principal Office
209 PHIPPS PLAZAPALM BEACH
FL
United States
Monday - Friday, 8:30 AM TO 5 PM
Tel: 312-981-3770, Fax: 312-981-3771
Chief Compliance Officer
ANDREW PERLMAN
ASSOCIATE GENERAL COUNSEL
676 N. MICHIGAN AVE.
34TH FLOOR
CHICAGO
IL
United States
Tel:
312-981-3775
Fax:
312-981-3771
P******@***********M
(Full email address available in API data)
Regulatory Contact
JASON L. BOOTH
GENERAL COUNSEL, PARTNER
676 N. MICHIGAN AVE.
34TH FLOOR
CHICAGO
IL
United States
Tel:
312-981-3779
Fax:
312-981-3771
B****@***********M
(Full email address available in API data)
Industry Affiliates
| ARBOR DEBT OPPORTUNITIES FUND COMPANY I, LLC | Sponsor, GP, manager of pooled investment vehicles |
| ARBOR DEBT OPPORTUNITIES FUND COMPANY II GP, L.P. | Sponsor, GP, manager of pooled investment vehicles |
| ARBOR DEBT OPPORTUNITIES FUND COMPANY III GP, L.P. | Sponsor, GP, manager of pooled investment vehicles |
| ARBOR PRIVATE INVESTMENT COMPANY III, LLC | Sponsor, GP, manager of pooled investment vehicles |
| ARBOR PRIVATE INVESTMENT COMPANY IV, LLC | Sponsor, GP, manager of pooled investment vehicles |
| ARBOR PRIVATE INVESTMENT COMPANY V, L.P. | Sponsor, GP, manager of pooled investment vehicles |
| ARBOR PRIVATE INVESTMENT COMPANY VI, L.P. | Sponsor, GP, manager of pooled investment vehicles |
| JASON L. BOOTH, P.C. | Lawyer or law firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| ARBOR AFFILIATES FUND III, L.P. | Private Equity Fund | $0.5M | $0.2M | 6 |
| ARBOR AFFILIATES FUND IV, L.P. | Private Equity Fund | $5.3M | $0.2M | 10 |
| ARBOR DEBT OPPORTUNITIES FUND I, L.P. | DEBT FUND | $75.8M | $0.1M | 27 |
| ARBOR DEBT OPPORTUNITIES FUND II-A, L.P. | DEBT FUND | $36.1M | $0.3M | 10 |
| ARBOR DEBT OPPORTUNITIES FUND II, L.P. | DEBT FUND | $159.4M | $0.3M | 36 |
| ARBOR INVESTMENTS III, L.P. | Private Equity Fund | $142.9M | $0.2M | 71 |
| ARBOR INVESTMENTS IV, L.P. | Private Equity Fund | $1,148.0M | $0.2M | 104 |
| ARBOR INVESTMENTS V-A, L.P. | Private Equity Fund | $680.0M | $0.1M | 47 |
| ARBOR INVESTMENTS V, L.P. | Private Equity Fund | $852.6M | $0.1M | 96 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BOOTH, JASON, LEE | Individual | – | GENERAL COUNSEL, PARTNER | 03/2013 | < 5% |
| PURCELL, GREGORY, JOSEPH | Individual | – | CHIEF EXECUTIVE OFFICER; MEMBER | 01/1999 | > 75% |
| ALLEGRETTI, CARL, SCOTT | Individual | – | PRESIDENT | 04/2020 | < 5% |
| FREEMAN, JAMES, ARMIN | Individual | – | CHIEF FINANCIAL OFFICER, PARTNER | 01/2023 | < 5% |
| PERLMAN, ANDREW, JACOB | Individual | – | CHIEF COMPLIANCE OFFICER & ASSOCIATE GENERAL COUNSEL | 12/2023 | < 5% |
| JORDAN, JOHN, ANTHONY | Individual | – | CHIEF OPERATING OFFICER | 11/2023 | < 5% |