Peppertree Capital Management Inc. (Chagrin Falls)

Name: Peppertree Capital Management Inc.
Address: 86 West Street, Chagrin Falls, OH, 44022
Telephone: 440-528-0333

Peppertree Capital Management Inc. is a large advisory firm based in Chagrin Falls. It manages $1.13 billion of regulatory assets for 14 client accounts. It has been registered with the SEC as an adviser since 2014 and has operated in the jurisdiction of Ohio.

Peppertree Capital Management provides portfolio management for pooled investment vehicles and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Peppertree Capital Management: assets under management

The assets under management (AUM) of Peppertree Capital Management Inc. is $1.13 billion. The firm's AUM has grown by 398% since the beginning of its operation, and $36.7 million of the total AUM is attributable to clients outside of the United States.

The firm manages $1.07 billion in discretionary accounts and $59.81 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $82.04 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $59.81 million.

Peppertree Capital Management has custody of $1.07 billion in cash and securities for 13 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in non-exchange traded securities the most. They account for 100% of the total AUM.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Peppertree Capital Management 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 Peppertree Capital Management serves?

The firm provides services to pooled investment vehicles and corporations or other businesses. The largest group of clients of Peppertree Capital Management is pooled investment vehicles with 13 clients and $1.07 billion of assets under management. Among the 10 most similar advisory firms, Peppertree Capital Management has the 4th lowest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $1.13 billion for 14 clients. 7% of the firm’s clients are foreign persons or businesses.

Peppertree Capital Management also advises several private funds. Namely, one other private fund and eleven private equity funds. The minimum investment commitment required of non-related persons ranges from $20,000 to $250,000.

Careers at Peppertree Capital Management Inc.

The company employs 15 people that are either part- or full-time employees. 80 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
F Howard Mandel	President of pcmi, limited partner of each reyling adviser	1 Jul 2003	25% - 50%	6045922
Jeffrey Jair Milius	Managing director of pcmi, lp of peppertree capital, lp, p.c. ttf, lp, p.c. fiv, lp, p.c. fv, lp (relying advisers)	1 Jul 2003	25% - 50%	6045938
Kevin James Mcginty	Limited partner of peppertree capital, lp, peppertree capital fif, lp, peppertree capital ttf, lp (relying advisers)	1 Jul 2003	25% - 50%	1628179
F. Howard Mandel	Co-president and shareholder	1 Jul 2003	50% - 75%	6045922
Jeffrey Allan Howard	Limited partner of peppertree capital, lp (relying adviser)	1 Mar 2004	25% - 50%	6045896
Inc. Peppertree Capital	General partner of peppertree capital, lp (relying adviser)	1 Mar 2004	Other	20-0811382
Reagan Wayne Silber	Limited partner peppertree capital, lp (relying adviser)	1 Mar 2004	Other	6026031
Cynthia Lill Debevec	Chief financial officer and cco (pcmi and relying advisers)	1 Jul 2010	Other	6045893
Inc. Peppertree Capital Ii	General partner of peppertree capital fif, lp (relying adviser)	1 Jul 2010	Other	45-3659904
Inc. Peppertree Capital Iii	General partner of peppertree capital ttf, lp (relying adviser)	1 Jan 2011	Other	27-4426775
Ryan David Lepene	Managing director of pcmi; limited partner of each relying adviser	1 May 2011	25% - 50%	4697053
Peppertree Capital Management Inc.	Member and manager of peppertree capital sdf, llc (relying adviser)	1 Sep 2011	75% - 100%	163215
Inc. Peppertree Capital Iv	General partner of peppertree capital fiv, lp (relying adviser)	1 Oct 2013	Other	46-3784659
Inc. Peppertree Capital V	General partner of peppertree capital fv, lp (relying adviser)	1 Oct 2014	75% - 100%	47-2171850
Inc. Pepertree Capital Vi	General partner of peppertree capital fvi, lp (relying adviser)	1 Mar 2016	Other	81-1656938
Daniel Weiser	Limited partner of peppertree capital fvi lp	1 Apr 2016	Other	5564702
John Joseph Ranieri	Limited partner of peppertree capital fv lp & peppertree capital fvi lp	1 Sep 2016	Other	1674408

Indirect Owners

The SEC currently registers 5 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
F Howard Mandel	Shareholder	1 Mar 2004	25% - 50%	6045922
Jeffrey Jair Milius	Shareholder	1 Mar 2004	25% - 50%	6045938
Kevin James Mcginty	Shareholder	1 Mar 2004	25% - 50%	1628179
Ryan David Lepene	Shareholder	1 Jan 2011	25% - 50%	4697053
Llc Ap Peppertree Holdings	Shareholder	1 Apr 2011	25% - 50%	45-1139952

Based in Chagrin Falls

The principal office where Peppertree Capital Management Inc. performs its advisory services is located at 86 West Street, Chagrin Falls, OH 44022, 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 440-528-0333 or by fax 440-528-0334. The normal business hours are 8 a.m. - 4:30 p.m. on Monday - Friday. You can find more information about the New York firm at peppertreecapital.com.