PEPPERTREE CAPITAL MANAGEMENT INC.
Adviser information for PEPPERTREE CAPITAL MANAGEMENT INC. last updated from Form ADV on March 29th, 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 | Ohio, United States |
Employees
| Total Number of Employees | 33 |
|---|---|
| Investment Advisory/Research | 21 |
| 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 | 21 | $6.4B |
| Non-Discretionary | 1 | $55.8M |
| Total | 22 | $6.5B |
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 | 21 | $6.4B |
| 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 | $55.8M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 9 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-80031 |
|---|---|
| SEC ERA File Number | 801-80031 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 163215 |
| Legal Entity Identifier | None |
Principal Office
57 E. WASHINGTON STREETCHAGRIN FALLS
OH
United States
Monday - Friday, 8 A.M. - 4:30 P.M.
Tel: 440-528-0333, Fax: 440-528-0334
Chief Compliance Officer
CYNTHIA DEBEVEC
CHIEF OPERATING OFFICER
57 E. WASHINGTON STREET
CHAGRIN FALLS
OH
United States
Tel:
440-528-0338
Fax:
440-528-0334
C*******@********************M
(Full email address available in API data)
Regulatory Contact
JOSEPH A. SASS
CHIEF FINANCIAL OFFICER
57 E. WASHINGTON STREET
CHAGRIN FALLS
OH
United States
Tel:
440-528-0174
Fax:
440-528-0334
J****@********************M
(Full email address available in API data)
Industry Affiliates
| PEPPERTREE CAPITAL III, INC. | Sponsor, GP, manager of pooled investment vehicles |
| PEPPERTREE CAPITAL IV, INC. | Sponsor, GP, manager of pooled investment vehicles |
| PEPPERTREE CAPITAL IX, INC. | Sponsor, GP, manager of pooled investment vehicles |
| PEPPERTREE CAPITAL V, INC. | Sponsor, GP, manager of pooled investment vehicles |
| PEPPERTREE CAPITAL VI, INC. | Sponsor, GP, manager of pooled investment vehicles |
| PEPPERTREE CAPITAL VII, INC. | Sponsor, GP, manager of pooled investment vehicles |
| PEPPERTREE CAPITAL VIII, INC. | Sponsor, GP, manager of pooled investment vehicles |
| PEPPERTREE CAPITAL X, INC. | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| PEPPERTREE CAPITAL FUND IV QP, LP | Private Equity Fund | $30.2M | $0.3M | 78 |
| PEPPERTREE CAPITAL FUND IV, LP | Private Equity Fund | $4.3M | $0.1M | 62 |
| PEPPERTREE CAPITAL FUND IX QP, LP | Private Equity Fund | $1,786.3M | $0.1M | 209 |
| PEPPERTREE CAPITAL FUND IX, LP | Private Equity Fund | $44.1M | $0.1M | 14 |
| PEPPERTREE CAPITAL FUND VI ACQUISITION, LLC | Private Equity Fund | $5.7M | $0.1M | 43 |
| PEPPERTREE CAPITAL FUND VI QP, LP | Private Equity Fund | $402.6M | $0.1M | 105 |
| PEPPERTREE CAPITAL FUND VI, LP | Private Equity Fund | $5.5M | $0.1M | 18 |
| PEPPERTREE CAPITAL FUND VII QP, LP | Private Equity Fund | $1,078.4M | $0.1M | 139 |
| PEPPERTREE CAPITAL FUND VII, LP | Private Equity Fund | $4.9M | $0.1M | 11 |
| PEPPERTREE CAPITAL FUND VIII QP, LP | Private Equity Fund | $1,503.7M | $0.1M | 177 |
| PEPPERTREE CAPITAL FUND VIII, LP | Private Equity Fund | $21.3M | $0.1M | 10 |
| PEPPERTREE CAPITAL FUND X QP, LP | Private Equity Fund | $1,355.4M | $0.1M | 216 |
| PEPPERTREE CAPITAL INTERNATIONAL CO-INVESTOR FUND, LP | Private Equity Fund | $28.3M | $0.1M | 6 |
| PEPPERTREE CAPITAL INTERNATIONAL FUND QP, LP | Private Equity Fund | $43.1M | $0.1M | 36 |
| PEPPERTREE CAPITAL INTERNATIONAL FUND, LP | Private Equity Fund | $1.2M | $0.1M | 8 |
| PEPPERTREE CAPITAL SENIOR DEBT FUND, LP | DEBT FUND | $20.4M | $0.0M | 67 |
| PEPPERTREE CAPITAL TELECOM TOWER FUND, LP | Private Equity Fund | $3.0M | $0.0M | 73 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| LEPENE, RYAN, DAVID | Individual | – | CO-PRESIDENT AND SHAREHOLDER | 05/2011 | 50-75% |
| MANDEL, F., HOWARD | Individual | – | CO-PRESIDENT AND SHAREHOLDER | 07/2003 | 50-75% |
| DEBEVEC, CYNTHIA, LILL | Individual | – | CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER | 07/2010 | < 5% |
| Sass, Joseph, Anthony | Individual | – | CHIEF FINANCIAL OFFICER | 05/2023 | < 5% |