PPB ADVISORS, LLC
Adviser information for PPB ADVISORS, 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 | Pennsylvania, United States |
Employees
| Total Number of Employees | 35 |
|---|---|
| Investment Advisory/Research | 0 |
| Registered Broker-Dealer Representatives | 4 |
| 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 | 68 | $2.8B |
| Total | 68 | $2.8B |
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 | 68 | $2.8B |
| 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 | 2 |
| No. of Non-U.S. Clients | 5 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPRIVATELY MANAGED FUNDS |
| Other Business Activities | PRIVATE FUND MANAGER |
Identifiers
| SEC RIA File Number | 801-96194 |
|---|---|
| SEC ERA File Number | 801-96194 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 152303 |
| Legal Entity Identifier | None |
Principal Office
300 BARR HARBOR DRIVESUITE 260
WEST CONSHOHOCKEN
PA
United States
Monday - Friday, 9:00AM - 5:00PM
Tel: 484.278.4017, Fax: None
Chief Compliance Officer
JESSICA ROEPER
300 BARR HARBOR DRIVE
SUITE 260
WEST CONSHOHOCKCEN
PA
United States
Tel:
513-857-1392
J*************@******O
(Full email address available in API data)
Regulatory Contact
R. LANCE BAKER
CFO
300 BARR HARBOR DRIVE
SUITE 260
WEST CONSHOHOCKEN
PA
United States
Tel:
484.278.4017
L*@**************M
(Full email address available in API data)
Industry Affiliates
| KEYSTONE DIVERSIFIED GROUP LLC | Sponsor, GP, manager of pooled investment vehicles |
| OCH GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB 8VC5 MGT, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB AHF1 MGT LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB AIF II MGT LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB AIF III MGT LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB ALIGN TMIF II MGT., LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB ALPHA ACCESS MGT, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB BCPLC MGT, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB BREP VI MGT LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB BUPE MGT LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB CAPROCK IMPACT MGT LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB CDSFI MGT., LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB CP OFFSHORE MGT LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB CPGI MGT LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB CPIF2 MGT, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB CPOF 2021 MGT LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB CPOF MGT LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB CPOF2 MGT LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB CPOF2 QP MGT LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB CREDIT OPPS V MGT LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB CWP IO MGT, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB DAOF MGT LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB EMPIRICAL AIF MGT LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB FI3 CPE MGT LLC AND FI3 ADMINISTRATION 2024, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB FROF II MGT LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB FUNDAMENTAL GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB GCFT MGT., LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB GRATUS PRE MGT LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB HT INSIGHT XI MGT LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB HT SERIES 1 MGT LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB HV1 MGT LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB ISC 2023 MGT LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB KPM MGT LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB LD MGT, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB LG INCOME 2 MGT LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB LG INCOME 3 MGT LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB LGA INCOME MGT LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB LP 2022 MGT, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB LP 2023 MGT LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB MINT MGT LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB MUSA MGT LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB OBSPC MGT LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB OCH3 OFFSHORE, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB OCH3, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB ORBIMED ROYALTY FUND IV MGT, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB PEAK MFII MGT LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB PMF II MGT, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB PRISM JADE FUND MGT., LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB PSP IV MGT LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB RCP6 MGT, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB RESLAF MGT, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB SLP7 MGT LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB SP1 MGT LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB TA MGT LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB TAD5 LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB TBG MGT., LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB TCG II MGT LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB TCG III MGT LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB TCG SELECT MANAGEMENT LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB TCPOF MGT LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB TGX MGT LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB TRAILHEAD GROWTH MGT LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB TRAILHEAD MGT LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB TRAILHEAD OPTIONS MGT LLC | Sponsor, GP, manager of pooled investment vehicles |
| PPB TRAILHEAD QP MGT LLC | Sponsor, GP, manager of pooled investment vehicles |
| TCG PSP III QP MGT LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| 8VC FUND V ACCESS FUND LP | FUND OF FUNDS | $31.9M | $0.3M | 68 |
| ALIGN IMPACT FUND II LP | FUND OF FUNDS | $15.3M | $0.5M | 29 |
| ALIGN IMPACT FUND III LP | FUND OF FUNDS | $26.1M | $0.5M | 22 |
| ALIGN TMIF II ACCESS FUND | ACCESS | $6.3M | $0.3M | 12 |
| ALPHA ACCESS SERIES LP - CREDIT ACCESS OPPORTUNITIES FUND I | FUND OF FUNDS | $107.9M | $0.5M | 65 |
| ALPHA ACCESS SERIES LP - PRIVATE EQUITY ACCESS SECONDARIES FUND I | FUND OF FUNDS | $126.9M | $0.5M | 49 |
| ALPHA ACCESS SERIES LP - REAL ESTATE ACCESS OPPORTUNITIES FUND I | FUND OF FUNDS | $87.8M | $0.5M | 54 |
| BARRETT UPTON PRIVATE EQUITY ACCESS FUND, LP | FUND OF FUNDS | $49.8M | $0.1M | 84 |
| BCPLC ACCESS FUND, LP | FUND OF FUNDS | $8.1M | $0.1M | 3 |
| CANAL DIVERSIFYING STRATEGIES FUND I, LP | FUND OF FUNDS | $18.5M | $0.1M | 66 |
| CAPROCK BREP VI LLC | FUND OF FUNDS | $14.0M | $0.5M | 36 |
| CAPROCK IMPACT PARTNERS I LP | FUND OF FUNDS | $42.4M | $0.3M | 73 |
| CAPROCK PSP IV LP | FUND OF FUNDS | $130.0M | $0.3M | 162 |
| CENTURY PARK GROWTH & INCOME FUND LP | FUND OF FUNDS | $75.0M | $0.3M | 102 |
| CENTURY PARK INCOME FUND | FUND OF FUNDS | $39.4M | $0.3M | 88 |
| CENTURY PARK INCOME FUND II, LP | FUND OF FUNDS | $96.2M | $0.3M | 98 |
| CENTURY PARK OPPORTUNITY FUND 2019 LP | FUND OF FUNDS | $38.6M | $0.3M | 88 |
| CENTURY PARK OPPORTUNITY FUND 2020 (QP), LP | FUND OF FUNDS | $27.8M | $0.3M | 71 |
| CENTURY PARK OPPORTUNITY FUND 2020 LP | FUND OF FUNDS | $37.9M | $0.3M | 95 |
| CENTURY PARK OPPORTUNITY FUND 2021 LP | FUND OF FUNDS | $53.1M | $0.3M | 100 |
| CYNDEO INCOME OPPORTUNITES LP | FUND OF FUNDS | $33.5M | $0.3M | 52 |
| EMPIRICAL ALTERNATIVE INCOME FUND LP | FUND OF FUNDS | $21.8M | $0.3M | 62 |
| FUNDAMENTAL PARTNERS III ACCESS FUND LP | ACCESS | $69.0M | $0.3M | 162 |
| GC FINTECH FUND, LP | FUND OF FUNDS | $10.1M | $0.3M | 33 |
| GC OPPORTUNITIES 2 PRIVATE FUND LP | FUND OF FUNDS | $27.9M | $0.2M | 77 |
| GC OPPORTUNITIES I PRIVATE FUND LP | FUND OF FUNDS | $20.0M | $0.2M | 51 |
| GONDOLA DIGITAL ASSET OPPORTUNITIES | ACCESS | $7.0M | $0.3M | 27 |
| HCA WINDACRE ACCESS FUND LP | ACCESS | $17.2M | $0.3M | 48 |
| HIGHTOWER INSIGHT PARTNERS XI ACCESS FUND LP | ACCESS | $13.1M | $0.3M | 15 |
| INCOME ACCESS FUND, L.P. | FUND OF FUNDS | $73.7M | $0.3M | 75 |
| INVESTMENT SOLUTIONS CYBERSECURITY 2023 ACCESS FUND LP | FUND OF FUNDS | $56.6M | $0.1M | 210 |
| KEYSTONE AIM FUND II, LP | FUND OF FUNDS | $34.6M | $0.3M | 79 |
| LGA INCOMEPLUS FUND LP | FUND OF FUNDS | $19.3M | $0.5M | 81 |
| LINCOLN PARK 2022 FUND LP | FUND OF FUNDS | $11.3M | $0.1M | 29 |
| LINCOLN PARK 2023 FUND LP | FUND OF FUNDS | $17.8M | $0.1M | 28 |
| LOTUSGROUP INCOMEPLUS FUND III LP | FUND OF FUNDS | $11.0M | $0.3M | 36 |
| LOTUSGROUP INCOMEPLUSFUND II LP | FUND OF FUNDS | $21.8M | $0.5M | 89 |
| OBERLAND HEALTHCARE ACCESS FUND LP | ACCESS | $73.9M | $0.1M | 208 |
| OBERLAND HEALTHCARE ACCESS OFFSHORE FUND LP | ACCESS | $20.1M | $0.1M | 67 |
| OCH III HEALTHCARE ACCESS FUND LP | FUND OF FUNDS | $61.7M | $0.1M | 118 |
| OCH III HEALTHCARE OFFSHORE ACCESS FUND LP | FUND OF FUNDS | $37.5M | $0.1M | 114 |
| ONE BRICK SELECT PRIVATE CREDIT FUND I, LP | FUND OF FUNDS | $94.2M | $0.3M | 230 |
| ORBIMED ROYALTY & CREDIT OPPORTUNITIES ACCESS FUND IV LP | FUND OF FUNDS | $48.6M | $0.1M | 93 |
| PEAK MULTIFAMILY ACCESS FUND LP | ACCESS | $8.8M | $0.3M | 16 |
| PEAK MULTIFAMILY II ACCESS FUND, LP | ACCESS | $13.9M | $0.3M | 44 |
| PPB ACCESS FUND - FORTRESS CREDIT OPPORTUNITIES FUND V EXPANSION LP | ACCESS | $35.4M | $0.1M | 107 |
| PPB HT FUND SERIES LP - TIGER GLOBAL LONG OPPORTUNITIES SERIES | FUND OF FUNDS | $28.7M | $0.1M | 42 |
| PPB MILLENNIUM 2021 ACCESS LP | ACCESS | $54.2M | $0.1M | 109 |
| PPB MILLENNIUM 2021 OFFSHORE ACCESS FUND | ACCESS | $20.6M | $0.1M | 115 |
| PPB SLP VII ACCESS FUND, LP | FUND OF FUNDS | $9.6M | $0.3M | 24 |
| PPB TIGER GLOBAL CROSSOVER ACCESS FUND, LP | ACCESS | $5.0M | $0.1M | 28 |
| PRISM JADE FUND, LP | FUND OF FUNDS | $23.9M | $0.1M | 38 |
| RCP VI ACCESS FUND LP | ACCESS | $26.1M | $0.3M | 31 |
| RESLAF PERPETUAL FUND LP | FUND OF FUND | $112.9M | $0.1M | 292 |
| SHOREPOINT INCOME FUND LP | FUND OF FUNDS | $16.9M | $0.3M | 49 |
| TA ASSOCIATES XIV ACCESS FUND | ACCESS | $10.0M | $0.3M | 29 |
| TAD V ACCESS FUND, LP | ACCESS | $17.4M | $0.3M | 29 |
| TBG ALTERNATIVE INCOME SOLUTIONS LP | FUND OF FUNDS | $138.7M | $0.3M | 175 |
| TCG PRIVATE SELECT PARTNERS II LP | FUND OF FUNDS | $56.5M | $0.3M | 81 |
| TCG PRIVATE SELECT PARTNERS III, LP | FUND OF FUNDS | $118.0M | $0.3M | 111 |
| TCG PRIVATE SELECT PARTNERS, LP | FUND OF FUNDS | $52.0M | $0.3M | 63 |
| TCG PSP III (QP) ACCESS FUND, LP | FEEDER FUND (TO TCG III) | $11.8M | $0.3M | 26 |
| TRAILHEAD GROWTH, LP | FUND OF FUNDS | $25.2M | $0.3M | 62 |
| TRAILHEAD INCOME QP, LP | FUND OF FUNDS | $17.0M | $0.3M | 35 |
| TRAILHEAD INCOME, LP | FUND OF FUNDS | $49.9M | $0.3M | 99 |
| TRAILHEAD OPTIONS INCOME LP | FUND OF FUNDS | $17.4M | $0.3M | 50 |
| TRUSTCORE PRIVATE OPPORTUNITIES FUND LP | FUND OF FUNDS | $40.9M | $0.3M | 111 |
| US AFFORDABLE HOUSING FUND 1 LP | FUND OF FUNDS | $12.0M | $0.5M | 12 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| LAKE, BRENDAN, WILLIAM | Individual | – | PRESIDENT | 11/2008 | < 5% |
| PPB CAPITAL PARTNERS LLC | Domestic Entity | – | OWNER | 01/2014 | > 75% |
| LAKE, BRENDAN, WILLIAM | Individual | PPB CAPITAL PARTNERS LLC | OFFICER AND OWNER | 01/2013 | 50-75% |
| Baker, Robert, Lance | Individual | – | CFO | 01/2020 | < 5% |
| ROEPER, JESSICA, J | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2023 | < 5% |