P/E Global LLC (Boston)

Name: P/E Global LLC
Address: 75 State Street, Boston, MA, 02109
Telephone: 617-933-4500

P/E Global LLC is an investment adviser to an investment company based in Boston. It has been registered with the SEC as an adviser since 2012 and has operated in the jurisdiction of Massachusetts.

P/E Global provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, and pension consulting services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

P/E Global has custody of $268.18 million in cash and securities for 10 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay P/E Global LLC for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Warren Naphtal serves?

The firm provides services to investment companies, pooled investment vehicles, corporations or other businesses, pension and profit sharing plans, and state or municipal government entities. The largest group of clients of Warren Naphtal is investment companies with 2 clients and $0 of assets under management. Among the 6 most similar advisory firms, P/E Global has the highest percentage of investment companies out of all clients.

44% of the firm’s clients are foreign persons or businesses.

P/E Global doesn't advise any private funds.

Careers at P/E Global LLC

The company employs 40 people that are either part- or full-time employees. 60 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There are 2 people 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.

Warren Naphtal has been acting as President since 1 Aug 2000. Heather Kirsten Mellem joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
P/E Investments Llc	Member	1 Aug 2000	50% - 75%	04-3568589
Warren Naphtal	President	1 Aug 2000	Other	2606336
Mary Naphtal	Chief operating officer	1 Aug 2000	Other	5861588
Warren Joseph Naphtal	President	1 Aug 2000	Other	2606336
Mary Stephens Naphtal	Chief operating officer	1 Aug 2000	Other	5861588
P/E Strategic Llc	Member	1 Dec 2004	50% - 75%	04-3368719
Douglas Fraser Maclean	Chief compliance officer	1 Jan 2011	Other	5776021
Heather Kirsten Mellem	Chief compliance officer	1 May 2013	Other	4950530

Indirect Owners

The SEC currently registers 4 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
P/E Capital Llc	Member	1 Aug 2000	75% - 100%	04-3568588
P/E Asset Management Llc	Member	1 Aug 2000	75% - 100%	04-3445002
Joseph Richard Zecher	Member	1 Aug 2000	25% - 50%	5881795
P/E Investments Inc.	Member	1 Aug 2000	50% - 75%	04-3282094

Based in Boston

The principal office where P/E Global LLC performs its advisory services is located at 75 State Street, Boston, MA 02109, 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 617-933-4500 or by fax 617-933-4505. The normal business hours are 8:00 am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at peinvestments.com.