HERMES GPE (USA) INC
Adviser information for HERMES GPE (USA) INC 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 5 |
| 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 | 0 | $0 |
| Non-Discretionary | 1 | $1.3B |
| Total | 1 | $1.3B |
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 | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | <5 | $1.3B |
| 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 | 1 |
| No. of Non-U.S. Clients | 100 |
Services
| Advisory Services | ADVISORY SERVICES FOR OTHER INVESTMENT ADVISORS |
|---|---|
| Compensation | Fixed fees |
Identifiers
| SEC RIA File Number | 801-78211 |
|---|---|
| SEC ERA File Number | 801-78211 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 166839 |
| Legal Entity Identifier | None |
Principal Office
215 PARK AVENUE SOUTHSUITE 2016
NEW YORK
NY
United States
Monday - Friday, 9AM - 5.30PM EST
Tel: 347-592-9988, Fax: None
Chief Compliance Officer
DAVE FITZHARRIS
150 CHEAPSIDE
LONDON
United Kingdom
Tel:
+442076808079
Fax:
+442077029452
D**************@******************M
(Full email address available in API data)
Regulatory Contact
NELLY BOKAM
COMPLIANCE MANAGER
150 CHEAPSIDE
LONDON
United Kingdom
Tel:
+442076802245
Fax:
+442077029452
N**********@******************M
(Full email address available in API data)
Industry Affiliates
| FEDERATED ADVISORY SERVICES COMPANY | Other investment adviser, including financial planners |
| FEDERATED EQUITY MANAGEMENT COMPANY OF PENNSYLVANIA | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| FEDERATED GLOBAL INVESTMENT MANAGEMENT CORP. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| FEDERATED HERMES (UK) LLP | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| FEDERATED HERMES JAPAN LTD | Other investment adviser, including financial planners |
| FEDERATED INTERNATIONAL SECURITIES CORP. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| FEDERATED INVESTMENT COUNSELING | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| FEDERATED INVESTMENT MANAGEMENT COMPANY | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| FEDERATED INVESTORS AUSTRALIA SERVICES LTD | Other investment adviser, including financial planners |
| FEDERATED INVESTORS TRUST COMPANY | Commodity pool operator or commodity trading advisorTrust company |
| FEDERATED PRIVATE FUND OF ONE TRADE FINANCE PARTNERSHIP GENERAL PARTNER LLC | Other investment adviser, including financial plannersSponsor or syndicator of limited partnerships |
| FEDERATED SECURITIES CORP. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| HERMES ALTERNATIVE INVESTMENT MANAGEMENT LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| HERMES FUND MANAGERS IRELAND LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| HERMES GPE (SINGAPORE) PTE LIMITED | Other investment adviser, including financial planners |
| HERMES GPE LLP | Other investment adviser, including financial plannersSponsor or syndicator of limited partnershipsSponsor, GP, manager of pooled investment vehicles |
| HERMES INVESTMENT MANAGEMENT LIMITED | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| MDT ADVISERS, A DIVISION OF FEDERATED MDTA LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HERMES GPE LLP | Foreign Entity | – | 100% SHAREHOLDER | 07/2011 | > 75% |
| FEDERATED HERMES LIMITED | Foreign Entity | HERMES GPE LLP | SHAREHOLDER | 04/2010 | 50-75% |
| GPE PARTNER LIMITED | Foreign Entity | HERMES GPE LLP | SHAREHOLDER | 12/2011 | 50-75% |
| SANDS, KAREN, JANE | Individual | – | CHIEF OPERATING OFFICER, DIRECTOR | 10/2013 | < 5% |
| FEDERATED HOLDINGS (UK) II LIMITED | Foreign Entity | FEDERATED HERMES LIMITED | SHAREHOLDER | 08/2021 | > 75% |
| FEDERATED INTERNATIONAL HOLDINGS B.V. | Foreign Entity | FEDERATED HOLDINGS (UK) II LIMITED | SHAREHOLDER | 07/2018 | > 75% |
| FEDERATED HOLDINGS (UK) II LIMITED | Foreign Entity | HGPE CAPITAL LTD | SHAREHOLDER | 03/2020 | > 75% |
| FII HOLDINGS INC | Domestic Entity | FEDERATED INTERNATIONAL HOLDINGS B.V. | SHAREHOLDER | 12/1998 | > 75% |
| FEDERATED HERMES INC | Domestic Entity | FII HOLDINGS INC | SHAREHOLDER | 03/1983 | > 75% |
| HGPE CAPITAL LTD | Foreign Entity | GPE PARTNER LIMITED | SHAREHOLDER | 03/2020 | > 75% |
| Harrington, Brooks | Individual | – | DIRECTOR | 11/2022 | < 5% |
| FITZHARRIS, DAVID, ANDREW | Individual | – | CHIEF COMPLIANCE OFFICER | 09/2022 | < 5% |