PEMBERTON ASSET MANAGEMENT S.A.
Adviser information for PEMBERTON ASSET MANAGEMENT S.A. 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 | Luxembourg |
Employees
| Total Number of Employees | 0 |
|---|---|
| Investment Advisory/Research | 0 |
| 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 | No |
|---|
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 | 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 | 0 |
Services
| Advisory Services | – |
|---|---|
| Compensation | – |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 802-107832 |
|---|---|
| SEC ERA File Number | 802-107832 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 282865 |
| Legal Entity Identifier | None |
Principal Office
70 ROUTE D'ESCHLUXEMBOURG
Luxembourg
Monday - Friday, 9 AM TO 6 PM
Tel: +35226648360, Fax: None
Chief Compliance Officer
HELEN GRANT DEWAR
MS
70 ROUTE D'ESCH
LUXEMBOURG
Luxembourg
Tel:
+35226648360
H**********@**************M
(Full email address available in API data)
Industry Affiliates
| PEMBERTON CAPITAL ADVISORS LLP | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| PEMBERTON CAPITAL S.A.R.L. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| PEMBERTON DEBT FUND GP III SARL | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| PEMBERTON DEBT GP II (CAYMAN) LTD | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PEMBERTON DEBT GP II SARL | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| PEMBERTON DEBT GP S.A.R.L. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| PEMBERTON GP I (CAYMAN) LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| PEMBERTON STRATEGIC CREDIT GP I (CAYMAN) LTD | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| PEMBERTON STRATEGIC CREDIT GP II (CAYMAN) LIMITED | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PEMBERTON STRATEGIC CREDIT GP II SARL | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| PEMBERTON DEBT FUND SCS, SICAV-FIS - COMPARTMENT 1 | DEBT FUND | $40.5M | $5.3M | 1 |
| PEMBERTON EMPD SMA (CAD FEEDER) LP | FEEDER TO PRIVATE DEBT FUND | $64.9M | $10.8M | 1 |
| PEMBERTON EUROPEAN MID-MARKET DEBT FUND II (B) | DEBT FUND | $104.9M | $10.0M | 1 |
| PEMBERTON EUROPEAN STRATEGIC CREDIT OPPORTUNITIES FUND | DEBT FUND | $712.8M | $11.1M | 24 |
| PEMBERTON MID-MARKET DEBT FUND III USD CO-INVESTMENT | DEBT FUND | $155.9M | $50.0M | 2 |
| PEMBERTON MID-MARKET DEBT FUND IV SCSP SICAV-RAIF (LEVERED) | DEBT FUND | $0.0M | $10.0M | 0 |
| PEMBERTON MID-MARKET DEBT FUND IV SCSP SICAV-RAIF(EUR) | DEBT FUND | $137.5M | $10.5M | 19 |
| PEMBERTON NAV FINANCING SCSP SICAV-RAIF - CORE FUND | DEBT FUND | $122.1M | $10.5M | 3 |
| PEMBERTON NAV FINANCING SCSP SICAV-RAIF - STRATEGIC FUND | DEBT FUND | $0.0M | $10.5M | 0 |
| PEMBERTON PAYABLES & RECEIVABLES OPPORTUNITY FUND- GLOBAL TRADE SOLUTIONS 1 | DEBT FUND | $926.9M | $0.3M | 16 |
| PEMBERTON RISK SHARING FUND SCSP SICAV-RAIF-EUR (UNLEVERED) | DEBT FUND | $0.0M | $10.5M | 1 |
| PEMBERTON RISK SHARING FUND SCSP SICAV-RAIF-USD (LEVERED) | DEBT FUND | $20.6M | $10.0M | 1 |
| PEMBERTON SENIOR LOAN FUND II SCSP SICAV-RAIF (EUR) | DEBT FUND | $221.4M | $10.6M | 4 |
| PEMBERTON STRATEGIC CREDIT FUND II (A) | DEBT FUND | $870.9M | $10.6M | 37 |
| PEMBERTON STRATEGIC CREDIT FUND II (B) | DEBT FUND | $728.3M | $10.0M | 20 |
| PEMBERTON STRATEGIC CREDIT FUND III (A) | DEBT FUND | $480.0M | $10.6M | 39 |
| PEMBERTON STRATEGIC CREDIT FUND III (B) | DEBT FUND | $467.9M | $10.0M | 32 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BECHTEL, CORNELIUS, MARTIN | Individual | – | DIRECTOR | 04/2015 | < 5% |
| PEMBERTON ASSET MANAGEMENT HOLDINGS LTD | Foreign Entity | – | SHAREHOLDER | 04/2015 | > 75% |
| LEGAL & GENERAL CAPITAL INVESTMENTS LTD | Foreign Entity | PEMBERTON ASSET MANAGEMENT HOLDINGS LIMITED | SHAREHOLDER | 04/2015 | 25-50% |
| PEMBERTON TRUST | Foreign Entity | PEMBERTON ASSET MANAGEMENT HOLDINGS LIMITED | SHAREHOLDER | 04/2015 | |
| LEGAL & GENERAL GROUP PLC | Foreign Entity | LEGAL & GENERAL CAPITAL INVESTMENTS LTD | SHAREHOLDER | 04/2015 | > 75% |
| INTERTRUST TRUSTEE 2 (JERSEY) LIMITED | Foreign Entity | PEMBERTON TRUST | TRUSTEE | 04/2015 | |
| DECALF, VINCENT, ROBERT GILES | Individual | – | DIRECTOR, PCS, DGP (08/2016), DGP II (12/2017) | 05/2015 | < 5% |
| HUGHES, JULIE | Individual | – | DIRECTOR, P GP I (08/2016), PD GP II (09/2017), AND PSC GP II (12/2017) | 08/2016 | < 5% |
| PADRAIG, HOARE | Individual | – | DIRECTOR, P GP I (08/2016), PD GP II (09/2017), AND PSC GP II (12/2017) | 08/2016 | < 5% |
| WELCH II, CHARLES, DOUGLASS | Individual | – | PORTFOLIO MANAGEMENT CONDUCTING OFFICER, DIRECTOR, DGP; PCS | 03/2019 | < 5% |
| KASEM, GAEL | Individual | – | RISK CONDUCTING OFFICER | 05/2020 | < 5% |
| DE SAINT CHAMAS, GEOFFROI | Individual | – | DIRECTOR, DGP II | 06/2021 | < 5% |
| MCKAY, ANTHONY, FRANK | Individual | – | DIRECTOR: - DGP; DGP II; PCS; DGP III; DGP IV; NAV GP; PROF; RSS GP; SC GP II; SC GP III; SL GP; SL GP II | 03/2023 | < 5% |
| BECKERS, CONSTANT, EDUARD M. | Individual | – | DIRECTOR: - NAV GP; PROF; RSS GP | 03/2023 | < 5% |
| LEHR, CARMEN, NMN | Individual | – | DIRECTOR: - DGP III; DGP IV; SCGP II; SCGP III; SLGP; SLGP II | 03/2023 | < 5% |
| LOURENCO MARQUES PIPA, ANABELA, GRACINDA | Individual | – | DIRECTOR: - DGP II; DGP III; DGP IV; NAV GP; PROF; RSS GP; SC GP II; SC GP III; SL GP; SL GP II | 03/2023 | < 5% |
| HICKEY, MARK, JONATHAN | Individual | – | DIRECTOR | 09/2023 | < 5% |
| CAPP, ERIC, MATTHEW | Individual | – | DIRECTOR | 09/2023 | < 5% |
| DEWAR, HELEN, GRANT | Individual | – | COMPLIANCE CONDUCTING OFFICER | 09/2023 | < 5% |
| Georgeson, Christopher | Individual | – | CONDUCTING OFFICER FINANCE | 03/2024 | < 5% |