Five Arrows Managers North America LLC (Los Angeles)

Name: Five Arrows Managers North America LLC
Address: 633 West 5 Th Street, Los Angeles, CA, 90071
Telephone: 213-621-3735

Five Arrows Managers North America LLC is a large advisory firm based in Los Angeles. It manages $1.25 billion of regulatory assets for 8 client accounts. It has been registered with the SEC as an adviser since 2016 and has operated in the jurisdictions of California, Connecticut, and New York.

Five Arrows Managers North America provides portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, and management of pooled investment vehicles, including clos. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Five Arrows Managers North America: assets under management

The assets under management (AUM) of Five Arrows Managers North America LLC is $1.25 billion. The firm's AUM has gone down by -13% since the beginning of its operation, and $1.25 billion of the total AUM is attributable to clients outside of the United States.

The firm manages $976.75 million in discretionary accounts and $269.44 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $244.19 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $67.36 million.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Five Arrows Managers North America 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 Philip Martin Yeates serves?

The only and largest group of clients of Philip Martin Yeates is pooled investment vehicles with 8 clients and $1.25 billion of assets under management. Among the 8 most similar advisory firms, Five Arrows Managers North America has the 2nd highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $1.25 billion for 8 clients. 100% of the firm’s clients are foreign persons or businesses.

Five Arrows Managers North America also advises several private funds. Namely, seven securitized asset funds. The minimum investment commitment required of non-related persons ranges from $100,000 to $250,000.

Careers at Five Arrows Managers North America LLC

The company employs 13 people that are either part- or full-time employees. 77 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There’s a single person 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.

Philip Martin Yeates has been acting as President since 1 Sep 2015. Michael Dale Hatley has served as the Chief Investment Officer since 1 Jun 2005. John Murray Carroll joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Michael Dale Hatley	Chief investment officer	1 Jun 2005	Other	2025021
Graydon Winter Wilcox	Chief compliance officer, chief operating officer	1 Jun 2005	Other	2525042
Rothschild North America Holdings Inc	Parent of applicant	1 Sep 2015	75% - 100%	47-4684609
Philip Martin Yeates	Director	1 Sep 2015	Other	6299972
Michael Davitt Clancy	Director	1 Sep 2015	Other	5075452
Rothschild & Co North America Holdings Inc	Member	1 Sep 2015	75% - 100%	47-4684609
Michael John Woods	Director	1 Nov 2015	Other	2075819
Dennis Rhee	Chief marketing officer, managing director	1 Apr 2018	Other	6097793
Olivier Fines	Chief compliance officer, managing director	1 Aug 2018	Other	6710915
Cynthia Lopez	Senior compliance officer	1 Sep 2018	Other	7010589
John Murray Carroll	Chief compliance officer	1 Feb 2019	Other	2605675

Indirect Owners

The SEC currently registers 12 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Rothschild Concordia Ag	Shareholder	1 Apr 1990	50% - 75%	00-0000000
Rothschild & Co Concordia Ag	Shareholder	1 Apr 1990	50% - 75%	00-0000000
Rothschild Continuation Holdings Ag	Shareholder	1 Jul 2003	75% - 100%	00-0000000
Concordia Holding Sarl	Shareholder	1 Jul 2003	75% - 100%	00-0000000
Rothschild & Co Continuation Holdings Ag	Shareholder	1 Jul 2003	75% - 100%	00-0000000
Paris Orleans Holding Bancaire Sas	Shareholder	1 Jan 2008	75% - 100%	foreign
Rothschild Concordia Sas	Shareholder	1 Jan 2008	50% - 75%	foreign
Rothschild & Co (Formerly Known As Paris Orleans Sca)	Shareholder	1 Jan 2008	75% - 100%	foreign
Rothschild & Co Concordia Sas	Shareholder	1 Jan 2008	50% - 75%	foreign
Paris Orleans Holding Bancaire Sas	Shareholder	1 Jun 2012	25% - 50%	00-0000000
Rothschild North America Inc	Shareholder	1 Aug 2015	75% - 100%	13-3438524
Rothschild & Co North America Inc	Shareholder	1 Aug 2015	75% - 100%	13-3438524

Based in Los Angeles

The principal office where Five Arrows Managers North America LLC performs its advisory services is located at 633 West 5 Th Street, Los Angeles, CA 90071, which is also the mailing address of the firm. An additional office of the firm is in New York, NY. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 213-621-3735 or by fax 213-621-3795. The normal business hours are 8:00 am to 4:00 pm on Monday - Friday. You can find more information about the New York firm at rothschild.com.