PALISADE INVESTMENT PARTNERS LIMITED
Adviser information for PALISADE INVESTMENT PARTNERS LIMITED last updated from Form ADV on November 20th, 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 | 802-80266 |
|---|---|
| SEC ERA File Number | 802-80266 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 172731 |
| Legal Entity Identifier | None |
Principal Office
LEVEL 25, 123 PITT STREETSYDNEY
Australia
Monday - Friday, 9AM TO 5PM
Tel: 612-8970-7800, Fax: 612-9241-6671
Chief Compliance Officer
MONIQUE BATTERHAM
CHIEF RISK & COMPLIANCE OFFICER
LEVEL 25, AUSTRALIA SQUARE TOWER
264 GEORGE STREET
SYDNEY, NSW
Australia
Tel:
612-8970 7723
R**************@*********************M
(Full email address available in API data)
Industry Affiliates
| PALISADE INFRASTRUCTURE | Other investment adviser, including financial planners |
| PINNACLE FUND SERVICES LIMITED | Sponsor, GP, manager of pooled investment vehicles |
| PINNACLE INVESTMENT MANAGEMENT LIMITED | Other investment adviser, including financial planners |
| PINNACLE RE SERVICES LIMITED | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| PALISADE'S DIVERSIFIED INFRASTRUCTURE FUND NO 1 | INFRASTRUCTURE FUND | $560.0M | $2.5M | 16 |
| PALISADE'S DIVERSIFIED INFRASTRUCTURE FUND NO 2 | INFRASTRUCTURE FUND | $560.0M | $2.5M | 16 |
| PALISADE'S DIVERSIFIED INFRASTRUCTURE FUND NO. 3 | INFRASTRUCTURE FUND | $810.0M | $2.5M | 16 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| LLOYD, ROGER | Individual | – | CEO AND SHAREHOLDER | 12/2008 | 10-25% |
| MACOUN, IAN | Individual | – | DIRECTOR AND SHAREHOLDER | 01/2007 | 5-10% |
| RIGG, VICTORIA, HELEN | Individual | – | MANAGING DIRECTOR AND SHAREHOLDER | 03/2015 | 10-25% |
| PINNACLE INVESTMENT MANAGEMENT LIMITED | Foreign Entity | – | SHAREHOLDER | 03/2007 | 25-50% |
| PINNACLE INVESTMENT MANAGEMENT GROUP LIMITED | Foreign Entity | PINNACLE INVESTMENT MANAGEMENT LIMITED | SHAREHOLDER | 06/2004 | 25-50% |
| PALISADE OFFICERS SHAREHOLDING TRUST | Foreign Entity | – | SHAREHOLDER | 06/2017 | < 5% |
| POSH NOMINEES PTY LIMITED | Foreign Entity | – | TRUSTEE - PALISADE OFFICERS SHAREHOLDING TRUST | 06/2017 | 10-25% |
| POSH NOMINEES PTY LIMITED | Foreign Entity | PALISADE OFFICERS SHAREHOLDING TRUST | TRUSTEE | 06/2017 | |
| HUGHES, RICHARD, JOHN | Individual | – | DIRECTOR | 08/2019 | < 5% |
| GOULD, KAREN, ANGELA | Individual | – | DIRECTOR | 05/2020 | < 5% |
| POSH WAREHOUSE CO PTY LTD | Foreign Entity | – | TRUSTEE - POSH WAREHOUSE TRUST | 12/2019 | < 5% |
| BATTERHAM, MONIQUE | Individual | – | CHIEF COMPLIANCE OFFICER | 02/2022 | < 5% |