Pinebridge Galaxy LLC (New York)

Name: Pinebridge Galaxy LLC
Address: 65 East 55 Th Street, New York, NY, 10022
Telephone: (646) 857-8000

Pinebridge Galaxy LLC is a large advisory firm based in New York. It manages $2.22 billion of regulatory assets for 5 client accounts. It has been registered with the SEC as an adviser since 2016 and has operated in the jurisdictions of California and New York.

Pinebridge Galaxy provides portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Pinebridge Galaxy: assets under management

The assets under management (AUM) of Pinebridge Galaxy LLC is $2.22 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 2116% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $2.22 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $443.21 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Pinebridge Galaxy LLC for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients John Gordon Lapham serves?

The only and largest group of clients of John Gordon Lapham is pooled investment vehicles with 5 clients and $2.22 billion of assets under management. Among the 8 most similar advisory firms, Pinebridge Galaxy has the 2nd highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $2.22 billion for 5 clients. None of the firm’s clients are foreign persons or businesses.

Pinebridge Galaxy also advises several private funds. Namely, five securitized asset funds. The minimum investment commitment required of non-related persons is $250,000 for each fund.

Careers at Pinebridge Galaxy LLC

The company employs 6 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

John Gordon Lapham has been acting as President since 1 Sep 2016. John Howard Blevins joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Joshua Fred Shapiro	Chief compliance officer	1 Sep 2016	Other	6176119
Pinebridge Investments Llc	Direct owner	1 Sep 2016	75% - 100%	105926
John Gordon Lapham	President	1 Sep 2016	Other	1311240
David Edward Prinzivalli	Chief financial officer	1 Sep 2016	Other	4720559
Paul Allen Freilich	Deputy chief financial officer	1 Sep 2016	Other	4296129
Laila Marie Kollmorgen	Managing director	1 Sep 2016	Other	2577876
Julie Bothamley	Managing director	1 Sep 2016	Other	6712593
Steven Suk Min Oh	Managing director	1 Sep 2016	Other	2739174
Andrew Meissner	Managing director	1 Sep 2016	Other	6712596
Julian Fernand Sluyters	Chief operating officer	1 Sep 2016	Other	2209394
Michael John Karpik	Chief operating officer	1 Jan 2018	Other	1709305
John Howard Blevins	Chief compliance officer	1 Nov 2018	Other	1983887

Indirect Owners

The SEC currently registers 9 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Richard Tzar Kai Li	Shareholder	1 Dec 1996	75% - 100%	5735317
Chiltonlink Limited	Shareholder	1 Jul 2009	75% - 100%	foreign
Bridge Holdings Company Limited	General partner	1 Aug 2009	Other	foreign
L.P. Pacific Century Investment Holdings (Cayman Islands)	Limited partner	1 Aug 2009	75% - 100%	98-0641095
Pacific Century Partners Gp Limited	General partner	1 Aug 2009	Other	foreign
Pacific Century Investment Holdings (Cayman Islands) Limited	Limited partner	1 Aug 2009	75% - 100%	foreign
Pacific Century Investment Holdings No. 1 Limited	Shareholder	1 Aug 2009	75% - 100%	foreign
Pinebridge Investments Holdings Us Llc	Shareholder	1 Sep 2009	75% - 100%	26-4672666
L.P. Pinebridge Investments	Shareholder	1 Mar 2010	75% - 100%	98-0641094

Based in New York

The principal office where Pinebridge Galaxy LLC performs its advisory services is located at 65 East 55 Th Street, New York, NY 10022, which is also the mailing address of the firm. An additional office of the firm is in Los Angeles, CA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number (646) 857-8000. The normal business hours are 9:00am - 5:00pm on Monday - Friday. You can find more information about the New York firm at pinebridge.com/.