Pembrook Capital Management LLC (New York)

Name: Pembrook Capital Management LLC
Address: 485 Madison Avenue, New York, NY, 10022
Telephone: 212-906-8682

Pembrook Capital Management LLC is a large advisory firm based in New York. It manages $370.82 million of regulatory assets for 7 client accounts. It has been registered with the SEC as an adviser since 2012 and has operated in the jurisdiction of New York.

Pembrook Capital Management 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.

Pembrook Capital Management: assets under management

The assets under management (AUM) of Pembrook Capital Management LLC is $370.82 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 88% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $370.82 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $52.97 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Pembrook Capital Management 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 Stuart Jay Boesky serves?

The only and largest group of clients of Stuart Jay Boesky is pooled investment vehicles with 7 clients and $370.82 million of assets under management. Among the 10 most similar advisory firms, Pembrook Capital Management has the 3rd highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $370.82 million for 7 clients. None of the firm’s clients are foreign persons or businesses.

Pembrook Capital Management also advises several private funds. Namely, seven hedge funds. The minimum investment commitment required of non-related persons ranges from $1,000,000 to $10,000,000.

Careers at Pembrook Capital Management LLC

The company employs 10 people that are either part- or full-time employees. 50 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 compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Stuart Jay Boesky has been acting as President since 1 Dec 2006. Justin Carter Dausch joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Llc Mig Holdings	Minority shareholder	1 Jul 2006	25% - 50%	01-0609956
Stuart Jay Boesky	Director	1 Dec 2006	Other	2124053
Merrill Lynch L.P. Holdings Inc.	Minority owner of pembrook management holdings, llc (relying adviser)	1 Dec 2006	Other	13-3408201
Pembrook Capital Management Llc	Majority owner of pembrook management holdings, llc (relying adviser)	1 Dec 2006	75% - 100%	161420
William Turchyn	Director of pembrook management holdings, llc (relying adviser)	1 Dec 2006	Other	450442
Pembrook Capital Management Llc	Sole member of pci management, llc (relying adviser)	1 Jun 2009	75% - 100%	161420
Stuart Jay Boesky	Chief executive officer of pci management, llc (relying adviser)	1 Jun 2009	Other	2124053
Llc Sjb Associates	Majority shareholder	1 Dec 2011	50% - 75%	13-3643122
Robert Jay Hellman	Chief compliance officer	1 Dec 2011	Other	1103589
Inc. Sjb Associates	Majority shareholder	1 Dec 2011	50% - 75%	13-3643122
Robert Jay Hellman	Chief compliance officer	1 Mar 2013	Other	1103589
Pembrook Capital Management Llc	Sole member of pci iii management, llc (relying adviser)	1 Jul 2013	75% - 100%	161420
Stuart Jay Boesky	Chief executive officer of pci iii management, llc (relying adviser)	1 Jul 2013	Other	2124053
Robert Jay Hellman	Officer of pci iii management, llc (relying adviser)	1 Jul 2013	Other	1103589
Lp Sjb Associates	Minority shareholder	1 Aug 2013	Other	13-3698140
Paul D Mullaney	Officer of pci iii management, llc (relying adviser)	1 Feb 2015	Other	4950622
Justin Carter Dausch	Chief compliance officer	1 Jul 2019	Other	6919209

Indirect Owners

The SEC currently registers 18 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Orix Corporation	Majority shareholder	1 Aug 1981	75% - 100%	13-2792249
Inc. Merrill Lynch & Co.	Sole owner	1 Feb 1994	75% - 100%	13-2740599
Orix Usa Corporation	Majority shareholder	1 Mar 1997	75% - 100%	13-3095268
Bank Of America Corp.	Sole owner	1 Jan 2009	75% - 100%	56-0906609
Llc Orix Am Holdings	Majority shareholder	1 Oct 2010	50% - 75%	27-3789338
Orix Usa Asset Management	Majority shareholder	1 Oct 2010	75% - 100%	27-3789218
Orix Usa Corporation	Majority shareholder	1 Oct 2010	75% - 100%	13-3095268
Orix Corporation	Majority shareholder	1 Oct 2010	75% - 100%	13-2792249
Llc Orix Mariner Holdings	Majority shareholder	1 Oct 2010	50% - 75%	27-3789338
Orix Global Asset Management	Majority shareholder	1 Oct 2010	75% - 100%	27-3789218
Llc Orix Usa Asset Management	Majority shareholder	1 Oct 2010	75% - 100%	27-3789218
Llc Orix Global Asset Management	Majority shareholder	1 Oct 2010	75% - 100%	27-3789218
Stuart Jay Boesky	Sole owner	1 Dec 2011	75% - 100%	2124053
Stuart Jay Boesky	Sole owner	1 Aug 2013	75% - 100%	2124053
Orix Capital Markets Llc	Majority shareholder	1 Sep 2015	75% - 100%	75-2696071
Llc Orix Opco Holdings	Majority shareholder	1 Sep 2015	75% - 100%	75-2696071
Llc Oam Holdings	Majority shareholder	1 Feb 2019	75% - 100%	27-3890218
Llc Oam Capital	Majority shareholder	1 Feb 2019	50% - 75%	83-4067921

Based in New York

The principal office where Pembrook Capital Management LLC performs its advisory services is located at 485 Madison Avenue, New York, NY 10022, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-906-8682 or by fax 212-906-8699. The normal business hours are 9:00 am- 5:00 pm on Monday - Friday. You can find more information about the New York firm at pembrookgroup.com.