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CRD 297186
CHICAGO, IL
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| PPM CLO 6-R LTD. | Securitized Asset Fund | $391M | Jul 11, 2024 | 1 | Mar 30, 2023 | reported | n/a |
| PPM CLO 5 LTD. | Securitized Asset Fund | $389M | Jul 11, 2024 | 1 | Mar 30, 2022 | reported | n/a |
| PPM CLO 3 LTD. | Securitized Asset Fund | $384M | Jul 11, 2024 | 1 | Mar 29, 2019 | reported | n/a |
| PPM CLO 2 LTD. | Securitized Asset Fund | $379M | Jul 11, 2024 | 1 | Mar 29, 2019 | reported | n/a |
| PPM CLO 2018-1 LTD. | Securitized Asset Fund | $361M | Jul 11, 2024 | 1 | Jun 4, 2018 | reported | n/a |
| PPM CLO 4 LTD. | Securitized Asset Fund | $339M | Jul 11, 2024 | 1 | Mar 30, 2020 | reported | n/a |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| BARRUS, THOMAS, RICHARD | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | Na | yes | 05/2018 | Jun 4, 2018 | Jul 11, 2024 |
| BROOKE LIFE INSURANCE COMPANY | SOLE SHAREHOLDER | E | yes | 06/1995 | Jun 4, 2018 | Jul 11, 2024 |
| CAPASSO, MARY, T | EXECUTIVE VICE PRESIDENT, CHIEF OPERATING OFFICER, GENERAL COUNSEL | Na | yes | 01/2021 | Jun 4, 2018 | Jul 11, 2024 |
| CUMMINGS, DON, WAYNE | Director | Na | yes | 06/2024 | Jul 11, 2024 | Jul 11, 2024 |
| JACKSON FINANCIAL INC. | SOLE SHAREHOLDER | E | yes | 08/2011 | Feb 3, 2021 | Jul 11, 2024 |
| JACKSON HOLDINGS, LLC | SOLE SHAREHOLDER | E | yes | 03/2006 | Jun 4, 2018 | Jul 11, 2024 |
| JACKSON HOLDINGS, LLC | SOLE SHAREHOLDER | E | yes | 03/2006 | Jun 4, 2018 | Jul 11, 2024 |
| JACKSON NATIONAL LIFE INSURANCE COMPANY | SOLE MEMBER OF "RETENTION SERIES" OF APPLICANT | E | yes | 02/2022 | Jun 4, 2018 | Jul 11, 2024 |
| Jordan, Oliver | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER | Na | yes | 01/2021 | Feb 3, 2021 | Jul 11, 2024 |
| NWACHUKWU, OGECHI, CHIKEZIE | Director | Na | yes | 06/2024 | Jul 11, 2024 | Jul 11, 2024 |
| PPM AMERICA INC | SOLE MEMBER OF "MANGEMENT AND ORIGINATOR SERIES" OF APPLICANT | E | yes | 01/2022 | Jun 4, 2018 | Jul 11, 2024 |
| PPM HOLDINGS, INC. | SOLE SHAREHOLDER | E | yes | 02/1996 | Jun 4, 2018 | Jul 11, 2024 |
| SMITH, CRAIG, DONALD | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | Na | yes | 01/2021 | Jun 4, 2018 | Jul 11, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| JACKSON NATIONAL ASSET MANAGEMENT, LLC | n/a | Asset manager | $246B | N | yes | n/a |
| PPM AMERICA, INC. | n/a | Institutional manager | $94B | Y | yes | n/a |
| BROOKE LIFE INSURANCE COMPANY | n/a | n/a | n/a | N | yes | n/a |
| JACKSON NATIONAL LIFE DISTRIBUTORS LLC | n/a | n/a | n/a | N | yes | n/a |
| JACKSON NATIONAL LIFE INSURANCE COMPANY | n/a | n/a | n/a | Y | yes | n/a |
| PPM AMERICA CAPITAL PARTNERS III, LLC | n/a | n/a | n/a | N | yes | n/a |
| PPM AMERICA CAPITAL PARTNERS IV, LLC | n/a | n/a | n/a | N | yes | n/a |
| PPM AMERICA CAPITAL PARTNERS V, LLC | n/a | n/a | n/a | N | yes | n/a |
| PPM AMERICA CAPITAL PARTNERS VI, LLC | n/a | n/a | n/a | N | yes | n/a |
| PPM AMERICA CAPITAL PARTNERS VII, LLC | n/a | n/a | n/a | N | yes | n/a |
| PPM AMERICA CAPITAL PARTNERS VIII, LLC | n/a | n/a | n/a | Y | yes | n/a |
| PPM POMONA CAPITAL PARTNERS, LLC | n/a | n/a | n/a | Y | yes | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 29, 2026 | $2.7B | $2.7B | 12 | 5 | 0 | 8 | n/a |
| 2024 | Mar 31, 2025 | $2.5B | $2.5B | 11 | 5 | 0 | 8 | n/a |
| 2023 | Mar 28, 2024 | $2.2B | $2.2B | 10 | 5 | 0 | 6 | $2.2B |
| 2022 | Mar 30, 2023 | $2.1B | $2.1B | 12 | 7 | 1 | 6 | $2.1B |
| 2021 | Mar 30, 2022 | $1.9B | $1.9B | 12 | 4 | 0 | 5 | $1.9B |
| 2020 | Mar 31, 2021 | $1.5B | $1.5B | 11 | 4 | 0 | 4 | $1.5B |
| 2019 | Mar 30, 2020 | $1.2B | $1.2B | 11 | 4 | 0 | 4 | $1.2B |
| 2018 | Mar 29, 2019 | $746M | $746M | 11 | 4 | 0 | 3 | $746M |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $2.7B | $2.5B | 7.0% | $2.1B | 9.4% | 12 | 11 | 0 | 0 |