PENFUND MANAGEMENT LIMITED
Adviser information for PENFUND MANAGEMENT LIMITED last updated from Form ADV on March 7th, 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 | Canada |
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 | 802-107944 |
|---|---|
| SEC ERA File Number | 802-107944 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 282893 |
| Legal Entity Identifier | None |
Principal Office
333 BAY STREET, SUITE 610ONTARIO
TORONTO
Canada
Monday - Friday, 8:30 AM - 5:00 PM
Tel: 416-865-0707, Fax: 416-364-4149
Chief Compliance Officer
TONY HOWARD
CHIEF OPERATING OFFICER
333 BAY STREET
SUITE 610
TORONTO
Canada
Tel:
647-203-3705
Fax:
416-364-4149
T******@**********M
(Full email address available in API data)
Industry Affiliates
| PENFUND CAPITAL PARTNERS FUND VII INC. | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| PENFUND CAPITAL PARTNERS V INC. | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| PENFUND CAPITAL PARTNERS VI INC. | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| PENFUND CAPITAL FUND V (US) LIMITED PARTNERSHIP | Private Equity Fund | $5.1M | $0.0M | 12 |
| PENFUND CAPITAL FUND VI LIMITED PARTNERSHIP | Private Equity Fund | $596.6M | $0.0M | 137 |
| PENFUND CAPITAL FUND VI U.S. LIMITED PARTNERSHIP | Private Equity Fund | $85.7M | $0.4M | 16 |
| PENFUND CAPITAL FUND VII U.S. LIMITED PARTNERSHIP | Private Equity Fund | $330.6M | $0.4M | 25 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| PENFUND INC. | Foreign Entity | – | SHAREHOLDER - COMMON SHARES | 01/1997 | > 75% |
| BRADLOW, RICHARD, BARRY | Individual | – | DIRECTOR | 04/2011 | < 5% |
| BRESLIN, ADAM, STEPHEN | Individual | – | DIRECTOR | 04/2011 | < 5% |
| THOMPSON, JEREMY, JAMES | Individual | – | DIRECTOR | 06/2012 | < 5% |
| PENFUND HOLDINGS LP | Foreign Entity | PENFUND INC. | SHAREHOLDER - COMMON SHARES | 12/2021 | > 75% |
| PENFUND HOLDINGS GP INC. | Foreign Entity | PENFUND HOLDINGS LP | GENERAL PARTNER | 12/2021 | |
| PENFUND PARTNERS FEEDER INC. | Foreign Entity | PENFUND HOLDINGS LP | LIMITED PARTNER | 12/2021 | > 75% |
| PENFUND PARTNERS HOLDINGS LP | Foreign Entity | PENFUND PARTNERS FEEDER INC. | SHAREHOLDER - COMMON SHARES | 12/2021 | > 75% |
| HOWARD, TONY, SHELDON | Individual | – | CHIEF COMPLIANCE OFFICER | 07/2020 | < 5% |
| CHAN, FRANCIS, NMN | Individual | – | SECRETARY | 04/2021 | < 5% |
| MATTINA, GUISEPPE, NMN | Individual | – | DIRECTOR | 06/2021 | < 5% |
| PENFUND HOLDINGS GP INC. | Foreign Entity | PENFUND PARTNERS HOLDINGS LP | GENERAL PARTNER | 12/2021 | |
| ANNAVILLE CAPITAL INC. | Foreign Entity | PENFUND HOLDINGS GP INC. | SHAREHOLDER-COMMON STOCK | 12/2021 | 25-50% |
| ROCK CREEK CAPITAL INC. | Foreign Entity | PENFUND HOLDINGS GP INC. | SHAREHOLDER-COMMON STOCK | 12/2021 | 25-50% |
| FOUNTAINHEAD CAPITAL INC. | Foreign Entity | PENFUND HOLDINGS GP INC. | SHAREHOLDER-COMMON STOCK | 12/2021 | 25-50% |
| BRADLOW, RICHARD, BARRY | Individual | ANNAVILLE CAPITAL INC. | SHAREHOLDER-COMMON STOCK | 09/2006 | 50-75% |
| BRESLIN, ADAM, STEPHEN | Individual | ROCK CREEK CAPITAL INC. | SHAREHOLDER-COMMON STOCK | 05/2012 | 50-75% |
| THOMPSON, JEREMY, JAMES | Individual | FOUNTAINHEAD CAPITAL INC. | SHAREHOLDER-COMMON STOCK | 09/2006 | 50-75% |