Bregal Investments, Inc. (New York)

Name: Bregal Investments, Inc.
Address: 277 Park Avenue, New York, NY, 10172
Telephone: 212-704-3000

Bregal Investments, Inc. is a large advisory firm based in New York. It manages $14.77 billion of regulatory assets for 22 client accounts. It has been registered with the SEC as an adviser since 2016 and has operated in the jurisdiction of New York.

Bregal Investments 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.

Bregal Investments: assets under management

The assets under management (AUM) of Bregal Investments, Inc. is $14.77 billion. The firm's AUM has grown by 23% since the beginning of its operation, and $14.36 billion of the total AUM is attributable to clients outside of the United States.

Bregal Investments has custody of $7.56 billion in cash and securities for 22 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Bregal Investments, Inc. 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 Bregal Investments serves?

The only and largest group of clients of Bregal Investments is pooled investment vehicles with 22 clients and $14.77 billion of assets under management. Among the 4 most similar advisory firms, Bregal Investments has the highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $14.77 billion for 22 clients. 81% of the firm’s clients are foreign persons or businesses.

Bregal Investments also advises several private funds. Namely, twenty two private equity funds. The minimum investment commitment required of non-related persons ranges from $0 to $20,000,000.

Careers at Bregal Investments, Inc.

The company employs 65 people that are either part- or full-time employees. 69 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.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Ronald Bruce Fishman	Tax director	1 Oct 2004	Other	6712739
Michelle Suzanne Riley	Chief compliance officer/general counsel	1 Dec 2007	Other	6712736
Steven Davis Black	Co-ceo	1 Sep 2012	Other	801694
Quentin Josse Vandoosselaere	Co-ceo	1 Jan 2013	Other	1410869
Dwight Nicholas Cupit	Chief financial officer	1 Jul 2015	Other	6712737
Bregal Investments London Limited	Owner	1 Dec 2015	75% - 100%	98-1217634

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Cofra Holding Ag	Owner	1 Dec 2015	75% - 100%	xx-xxxxxxx

Based in New York

The principal office where Bregal Investments, Inc. performs its advisory services is located at 277 Park Avenue, New York, NY 10172, which is also the mailing address of the firm. An additional office of the firm is in Dallas, TX. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-704-3000 or by fax 212-573-6234. The normal business hours are 9 am-5pm on Monday - Friday. You can find more information about the New York firm at bregal.com/.