BROOKE PRIVATE EQUITY ASSOCIATES MANAGEMENT LLC
Adviser information for BROOKE PRIVATE EQUITY ASSOCIATES MANAGEMENT LLC 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 | 16 |
|---|---|
| Investment Advisory/Research | 10 |
| 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 | 17 | $1.7B |
| Non-Discretionary | 0 | $0 |
| Total | 17 | $1.7B |
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 | 17 | $1.7B |
| 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 | 29 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-74252 |
|---|---|
| SEC ERA File Number | 801-74252 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 156772 |
| Legal Entity Identifier | None |
Principal Office
20 CUSTOM HOUSE STREETSUITE 610
BOSTON
MA
United States
Monday - Friday, 9-5
Tel: 617-227-3160, Fax: None
Chief Compliance Officer
LAURIE CALLICUTT
VP OF FINANCE
20 CUSTOM HOUSE STREET
SUITE 610
BOSTON
MA
United States
Tel:
617-227-3160
L*********@**********M
(Full email address available in API data)
Regulatory Contact
STEPHEN BYERS
CHIEF FINANCIAL OFFICER AND PARTNER
20 CUSTOM HOUSE STREET
SUITE 610
BOSTON
MA
United States
Tel:
617-227-3160
S*****@**********M
(Full email address available in API data)
Industry Affiliates
| BPEA III GP, L.P. | Sponsor, GP, manager of pooled investment vehicles |
| BPEA SHC I, LLC | Sponsor, GP, manager of pooled investment vehicles |
| BPEA SHC II, LLC | Sponsor, GP, manager of pooled investment vehicles |
| BPEA-LIFE SCIENCES I GP, LP | Sponsor, GP, manager of pooled investment vehicles |
| BPEA-SBG GP, LP | Sponsor, GP, manager of pooled investment vehicles |
| BPEA-VECTIS I LLC | Sponsor, GP, manager of pooled investment vehicles |
| BPEAM IV, LLC | Sponsor, GP, manager of pooled investment vehicles |
| BPEAM V, LLC | Sponsor, GP, manager of pooled investment vehicles |
| BPEAM VI, LLC | Sponsor, GP, manager of pooled investment vehicles |
| BROOKE PRIVATE EQUITY ADVISORS II, LP | Sponsor, GP, manager of pooled investment vehicles |
| FAROL CRF CO-INVEST GP LP | Sponsor, GP, manager of pooled investment vehicles |
| VECTIS II GP, LP | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| BPEA CAYMAN III, L.P. | Private Equity Fund | $10.1M | $0.5M | 17 |
| BPEA CAYMAN IV, L.P. | Private Equity Fund | $33.8M | $0.3M | 13 |
| BPEA CAYMAN V, L.P. | Private Equity Fund | $37.6M | $0.3M | 20 |
| BPEA CAYMAN VI, L.P. | Private Equity Fund | $63.1M | $0.5M | 32 |
| BPEA III, L.P. | Private Equity Fund | $66.5M | $0.2M | 85 |
| BPEA IV, L.P. | Private Equity Fund | $225.8M | $0.3M | 84 |
| BPEA LIFE SCIENCES FUND I, LP | Private Equity Fund | $2.5M | $0.3M | 37 |
| BPEA SMALL BUYOUT AND GROWTH FUND I, LP | Private Equity Fund | $8.5M | $0.1M | 34 |
| BPEA STRATEGIC HEALTHCARE I-B, LP | Private Equity Fund | $414.7M | $0.5M | 23 |
| BPEA STRATEGIC HEALTHCARE II, L.P. | Private Equity Fund | $339.0M | $0.1M | 23 |
| BPEA V, L.P. | Private Equity Fund | $253.4M | $0.3M | 103 |
| BPEA VI, L.P. | Private Equity Fund | $334.5M | $0.3M | 124 |
| BROOKE PRIVATE EQUITY ADVISORS CAYMAN FUND II, LP | Private Equity Fund | $2.4M | $0.5M | 15 |
| BROOKE PRIVATE EQUITY ADVISORS FUND II (F), LP | Private Equity Fund | $0.7M | $5.0M | 2 |
| BROOKE PRIVATE EQUITY ADVISORS FUND II, LP | Private Equity Fund | $7.4M | $0.5M | 62 |
| VECTIS HEALTHCARE & LIFE SCIENCES FUND II, LP | Private Equity Fund | $21.3M | $1.5M | 9 |
| VECTIS LIFE SCIENCES FUND I, LP | Private Equity Fund | $4.5M | $0.5M | 11 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BROOKE, JOHN, FESSENDEN | Individual | – | SENIOR PARTNER AND MEMBER | 03/2004 | 50-75% |
| CALLICUTT, LAURIE, ANNE | Individual | – | CHIEF COMPLIANCE OFFICER | 07/2011 | < 5% |
| AUSTEN, CHRISTOPHER, MARSHALL | Individual | – | MANAGING PARTNER | 09/2008 | < 5% |
| BROOKE, PETER, WINSHIP | Individual | – | MEMBER | 12/2009 | 5-10% |
| BROOKE, SAMUEL, RUSSELL | Individual | – | MEMBER | 12/2009 | 5-10% |
| BYERS, STEPHEN, ROSS | Individual | – | CHIEF FINANCIAL OFFICER & PARTNER | 05/2016 | < 5% |
| CHRISTOPHER M. AUSTEN REVOCABLE TRUST, DATED 9/25/2009 (AMENDED AND RESTATED ON 1/23/2020) | Domestic Entity | – | MEMBER | 05/2021 | 25-50% |
| AUSTEN, CHRISTOPHER, MARSHALL | Individual | CHRISTOPHER M. AUSTEN REVOCABLE TRUST, DATED 9/25/2009 (AMENDED AND RESTATED ON 1/23/2020) | TRUSTEE | 05/2021 | 25-50% |
| Austen, Penelope, Flora | Individual | CHRISTOPHER M. AUSTEN REVOCABLE TRUST, DATED 9/25/2009 (AMENDED AND RESTATED ON 1/23/2020) | TRUSTEE | 05/2021 | 25-50% |