KOHLBERG & COMPANY
KOHLBERG & CO., L.L.C. Legal Name
Adviser information for KOHLBERG & COMPANY last updated from Form ADV on March 28th, 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 | 85 |
|---|---|
| Investment Advisory/Research | 50 |
| 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 | 25 | $13.2B |
| Non-Discretionary | 1 | $728.5M |
| Total | 26 | $13.9B |
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 | 26 | $13.9B |
| 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 | <5 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1 |
| No. of Non-U.S. Clients | 4 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMCARRIED INTEREST AND PERCENTAGE OF OID ON LOANS ACQUIRED |
Identifiers
| SEC RIA File Number | 801-74129 |
|---|---|
| SEC ERA File Number | 801-74129 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 160745 |
| Legal Entity Identifier | None |
Principal Office
111 RADIO CIRCLEMOUNT KISCO
NY
United States
Monday - Friday, 9AM - 5PM
Tel: 914-241-7430, Fax: 914-241-1012
Chief Compliance Officer
DANIEL GEWANTER
GENERAL COUNSEL
111 RADIO CIRCLE
MT. KISCO
NY
United States
Tel:
(914) 241-7430
Fax:
(914) 241-1012
G*******@***********M
(Full email address available in API data)
Regulatory Contact
SUNG HEE KASTNER
DIRECTOR OF COMPLIANCE
111 RADIO CIRCLE DRIVE
MOUNT KISCO
NY
United States
Tel:
(914) 241-7430
Fax:
(914) 241-1012
K**@***********M
(Full email address available in API data)
Industry Affiliates
| KOHLBERG BUKCEYE GP, L.L.C. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| KOHLBERG KST GP, L.L.C. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| KOHLBERG MANAGEMENT IX, L.P. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| KOHLBERG MANAGEMENT VII CV, L.L.C. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| KOHLBERG MANAGEMENT VIII, L.L.C. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| KOHLBERG MANAGEMENT X, L.L.C. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| KOHLBERG SKI MANAGEMENT VIII, L.P. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| KCLF NOTE ISSUER I SPV, LLC | Securitized Asset Fund | $485.5M | $0.0M | 3 |
| KOCO INVESTORS IX, L.P. | Private Equity Fund | $20.1M | $0.0M | 40 |
| KOCO INVESTORS VII, L.P. | Private Equity Fund | $19.0M | $0.0M | 62 |
| KOCO INVESTORS VIII, L.P. | Private Equity Fund | $14.6M | $0.0M | 69 |
| KOCO INVESTORS X, L.P. | Private Equity Fund | $36.6M | $0.0M | 54 |
| KOHLBERG BUCKEYE PARTNERS, L.P. | Private Equity Fund | $25.7M | $0.0M | 2 |
| KOHLBERG INVESTORS IX-B, L.P. | Private Equity Fund | $738.7M | $10.0M | 8 |
| KOHLBERG INVESTORS IX-C, L.P. | Private Equity Fund | $272.2M | $10.0M | 2 |
| KOHLBERG INVESTORS IX, L.P. | Private Equity Fund | $1,061.5M | $10.0M | 80 |
| KOHLBERG INVESTORS VII CV, L.P. | Private Equity Fund | $783.5M | $0.0M | 18 |
| KOHLBERG INVESTORS VIII-B, L.P. | Private Equity Fund | $677.8M | $10.0M | 10 |
| KOHLBERG INVESTORS VIII-C, L.P. | Private Equity Fund | $194.8M | $10.0M | 3 |
| KOHLBERG INVESTORS VIII, L.P. | Private Equity Fund | $636.5M | $10.0M | 42 |
| KOHLBERG INVESTORS X-B, L.P. | Private Equity Fund | $507.5M | $10.0M | 7 |
| KOHLBERG INVESTORS X, L.P. | Private Equity Fund | $587.1M | $10.0M | 47 |
| KOHLBERG PARTNERS IX, L.P. | Private Equity Fund | $96.3M | $0.0M | 16 |
| KOHLBERG PARTNERS VIII, L.P. | Private Equity Fund | $52.2M | $0.0M | 12 |
| KOHLBERG PARTNERS X, L.P. | Private Equity Fund | $44.5M | $0.0M | 13 |
| KOHLBERG STAR TRINITY, L.P. | Private Equity Fund | $728.5M | $0.0M | 2 |
| KOHLBERG TE INVESTORS IX-B, L.P. | Private Equity Fund | $276.0M | $10.0M | 8 |
| KOHLBERG TE INVESTORS IX, L.P. | Private Equity Fund | $2,619.3M | $10.0M | 84 |
| KOHLBERG TE INVESTORS VII CV, L.P. | Private Equity Fund | $650.9M | $0.0M | 28 |
| KOHLBERG TE INVESTORS VIII-B, L.P. | Private Equity Fund | $343.6M | $10.0M | 14 |
| KOHLBERG TE INVESTORS VIII, L.P. | Private Equity Fund | $1,491.1M | $10.0M | 59 |
| KOHLBERG TE INVESTORS X-B, L.P. | Private Equity Fund | $94.6M | $10.0M | 9 |
| KOHLBERG TE INVESTORS X, L.P. | Private Equity Fund | $1,463.3M | $10.0M | 49 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MARDIROSSIAN, SHANT, ZAVEN | Individual | – | CHIEF OPERATING OFFICER | 01/2000 | < 5% |
| WOODWARD, GORDON | Individual | – | CHIEF INVESTMENT OFFICER | 08/2010 | < 5% |
| WILDSTEIN, EVAN, DONALD | Individual | – | PARTNER | 01/2000 | < 5% |
| ANDERSON, CHRISTOPHER, WILLIAM | Individual | – | PARTNER | 01/2006 | < 5% |
| HOLLANDER, SETH | Individual | – | PARTNER | 01/2009 | < 5% |
| MAO, BENJAMIN, JAUYI | Individual | – | PARTNER | 01/2011 | < 5% |
| WAHLA, AHMED, I | Individual | – | PARTNER | 01/2014 | < 5% |
| BONANNO, ANDREW, PAUL | Individual | – | PARTNER | 01/2016 | < 5% |
| KOHLBERG & CO., L.P. | Domestic Entity | – | MEMBER | 01/2017 | > 75% |
| FRIEDER, SAMUEL, PHILIP | Individual | KOHLBERG MANAGEMENT GP, L.L.C. | MEMBER | 01/2017 | > 75% |
| GEWANTER, DANIEL, STEWART | Individual | – | GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | 02/2018 | < 5% |
| FRIEDER, SAMUEL, PHILIP | Individual | – | MANAGING PARTNER | 01/2006 | < 5% |
| KOHLBERG, JAMES, ANDREW | Individual | – | CHAIRMAN | 01/2007 | < 5% |
| FRIEDER, SAMUEL, PHILIP | Individual | KOHLBERG & CO., L.P. | PARTNER | 01/2017 | 25-50% |
| KOHLBERG MANAGEMENT GP, L.L.C. | Domestic Entity | KOHLBERG & CO., L.P. | PARTNER | 01/2017 | |
| ROBERTS, JEAN, ELIZABETH | Individual | – | PARTNER | 01/2019 | < 5% |
| REGENT, JOSEPH-PIERRE | Individual | – | CHIEF FINANCIAL OFFICER | 07/2021 | < 5% |
| BRENNAN, JESSICA, HOFFMAN | Individual | – | PARTNER, HEAD OF STRATEGY & INVESTOR RELATIONS | 10/2022 | < 5% |
| BILMES, ERIC, MICHAEL | Individual | – | PARTNER, CREDIT & STRUCTURED EQUITY | 04/2022 | < 5% |
| O'REILLY, MOIRA, ANN | Individual | – | CHIEF TECHNOLOGY OFFICER | 01/2023 | < 5% |
| HARWOOD, BARTLETT | Individual | – | PARTNER | 01/2024 | < 5% |
| YU, BENJAMIN | Individual | – | PARTNER | 01/2024 | < 5% |
| FORREY, JOHN, A | Individual | – | PARTNER | 01/2024 | < 5% |
| SCHEER, ALBERT, EDWARD | Individual | – | PARTNER | 01/2024 | < 5% |