CPE CAPITAL
CPEC FINANCIAL SERVICES PTY LTD Legal Name
Adviser information for CPE CAPITAL last updated from Form ADV on August 30th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Other (specify) |
|---|---|
| Fiscal Year End | JUNE |
| Legal Location | Australia |
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 | – |
Identifiers
| SEC RIA File Number | 802-75533 |
|---|---|
| SEC ERA File Number | 802-75533 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 162126 |
| Legal Entity Identifier | None |
Principal Office
LEVEL 23 AURORA PLACE88 PHILLIP STREET
SYDNEY, NSW
Australia
Monday - Friday, 9AM-5.30PM
Tel: 612 8248 8888, Fax: 612 8248 8877
Chief Compliance Officer
BENJAMIN WACHER
LEVEL 23 AURORA PLACE
88 PHILLIP STREET
SYDNEY, NSW
Australia
Tel:
+61282488856
Fax:
+61282488877
B******@*************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| CPEC 8 TRUST B | Private Equity Fund | $63.8M | $0.3M | 20 |
| CPEC 9, LP | Private Equity Fund | $160.9M | $0.5M | 350 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HADDOCK, JOHN, RICHARD | Individual | – | CEO/CIO & DIRECTOR, CPEC FINANCIAL SERVICES PTY LTD, CPEC 8 MANAGEMENT PTY LTD, CPEC MANAGEMENT PTY LTD | 10/2011 | > 75% |
| CPEC FUNDS MANAGEMENT PTY LTD | Foreign Entity | – | OWNS 100% OF THE SHARES IN CPEC 8 MANAGEMENT PTY LTD AND CPEC MANAGEMENT PTY LTD | 05/2015 | > 75% |
| Stevenson, Jeremy, Alexander McKenzie | Individual | – | GENERAL COUNSEL | 07/2016 | < 5% |
| LIBUG PTY LTD | Foreign Entity | CPEC FUNDS MANAGEMENT PTY LTD | SHAREHOLDER | 12/2015 | 50-75% |
| HADDOCK, JOHN, RICHARD | Individual | LIBUG PTY LTD | CONTROLS THE SHAREHOLDING | 09/2003 | > 75% |
| CPEC FUNDS MANAGEMENT PTY LTD | Foreign Entity | HADDOCK, JOHN, RICHARD | SHAREHOLDER | 06/2021 | > 75% |
| LUCAS, MALCOLM, RONALD | Individual | – | CHIEF FINANCIAL OFFICER & DIRECTOR, CPEC FINANCIAL SERVICES, CPEC MANAGEMENT PTY LTD,CPEC 8 MANAGEMENT PTY LTD | 03/2019 | < 5% |
| Wacher, Benjamin, Anthony | Individual | – | SENIOR LEGAL COUNSEL | 12/2019 | < 5% |