PPM AMERICA INC
Latest filing: Mar 31, 2025 (82 days ago)
AUM
$74,478,389,810
2% change vs. 1 year ago
-6% change vs. 3 years ago
-43% change vs. 5 years ago
-25% change vs. 10 years ago
Employee Count
212
1% change vs. 1 year ago
-3% change vs. 3 years ago
-21% change vs. 5 years ago
8% change vs. 10 years ago
Main Office
CHICAGO, IL
225 WEST WACKER DRIVE, CHICAGO, IL, UNITED STATES, 60606
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $74.0 |
| Non-Discretionary | $0.5 |
| Total | $74.5 |
| Client | AUM |
|---|---|
| Retail | $0.0 |
| Pooled | $13.7 |
| Institutional | $60.8 |
| Total | $74.5 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 0 | $0.0 |
| Average Individual AUM | $0 | |
| HNW | 1 | $0.0 |
| Average HNW AUM | $874,700 | |
| Retail Total | 1 | $0.0 |
| Average Retail AUM | $874,700 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| THE BANK OF NEW YORK MELLON | NEW YORK-NY-USA | $38.1 |
| STATE STREET BANK AND TRUST COMPANY | BOSTON-MA-USA | $12.6 |
| CITIBANK, NATIONAL ASSOCIATION | NEW YORK-NY-USA | $9.3 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $60.8 |
| Retail SMA AUM | $0.0 |
| Institutional SMA AUM | $60.8 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 0% | $0.0 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 0% | $0.0 |
| Municipal | 0% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 71% | $43.2 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 0% | $0.0 |
| Other Pools | 0% | $0.0 |
| Cash | 1% | $0.6 |
| Other | 28% | $17.0 |
| Total | 100% | $60.8 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| JACKSON NATIONAL ASSET MANAGEMENT, LLC | $254.3 | 111079 | |
| PPM LOAN MANAGEMENT COMPANY 2, LLC | $2.5 | 297186 | |
| BROOKE LIFE INSURANCE COMPANY | $0.0 | - | |
| JACKSON NATIONAL LIFE INSURANCE COMPANY | $0.0 | - | |
| PPM POMONA CAPITAL PARTNERS, LLC | $0.0 | - | |
| SQUIRE REASSURANCE COMPANY LLC | $0.0 | - | |
| PPM AMERICA CAPITAL PARTNERS VIII, LLC | $0.0 | - | |
| PPM AMERICA CAPITAL PARTNERS VI, LLC | $0.0 | - | |
| SQUIRE REASSURANCE COMPANY II, INC | $0.0 | - | |
| PPM AMERICA CAPITAL PARTNERS V, LLC | $0.0 | - | |
| PPM AMERICA CAPITAL PARTNERS VII, LLC | $0.0 | - | |
| PPM AMERICA CAPITAL PARTNERS III, LLC | $0.0 | - | |
| JACKSON NATIONAL LIFE DISTRIBUTORS LLC | $0.0 | broker-dealer | 40178 |
| JACKSON NATIONAL LIFE INSURANCE COMPANY OF NEW YORK | $0.0 | - | |
| PPM AMERICA CAPITAL PARTNERS IV, LLC | $0.0 | - | |
| JACKSON NATIONAL LIFE (BERMUDA) LIMITED | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
10 active
| Name | Title |
|---|---|
| BARRUS, THOMAS, RICHARD | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER |
| SMITH, CRAIG, DONALD | CHAIRMAN OF THE BOARD, PRESIDENT, CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER, DIRECTOR |
| REED, ALISON, RUSS | DIRECTOR |
| CAPASSO, MARY, T | EXECUTIVE VICE PRESIDENT, CHIEF OPERATING OFFICER, GENERAL COUNSEL, DIRECTOR |
| JORDAN, OLIVER | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER |
| RAPIER, DANA, SCAMARCIA | DIRECTOR |
| RAUB, CHRISTOPHER, ALLEN | DIRECTOR |
ADVDB.CO • SOURCE: SEC
Representatives
| No representatives found with matching CRD |
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-05-02 | $74.5 | $0.0 | 0% | 212 | 0 | 0% |
| 2025-04-21 | $74.5 | $0.0 | 0% | 212 | 0 | 0% |
| 2024-04-02 | $73.1 | $1.3 | 2% | 209 | 3 | 1% |
| 2023-04-04 | $71.5 | $2.9 | 4% | 217 | -5 | -2% |
| 2022-04-01 | $79.3 | -$4.9 | -6% | 218 | -6 | -3% |
| 2021-04-05 | $106.3 | -$31.8 | -30% | 257 | -45 | -18% |
| 2020-04-01 | $129.8 | -$55.3 | -43% | 268 | -56 | -21% |
| 2019-04-01 | $108.4 | -$33.9 | -31% | 240 | -28 | -12% |
| 2018-04-02 | $103.1 | -$28.6 | -28% | 231 | -19 | -8% |
| 2017-04-01 | $101.2 | -$26.7 | -26% | 213 | -1 | 0% |
| 2016-04-01 | $99.6 | -$25.1 | -25% | 206 | 6 | 3% |
| 2015-04-01 | $99.9 | -$25.4 | -25% | 196 | 16 | 8% |
| 2014-04-01 | $98.2 | -$23.8 | -24% | 195 | 17 | 9% |
| 2013-04-01 | $81.6 | -$7.1 | -9% | 187 | 25 | 13% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| IL, AK-03/29/2018, AL-03/29/2018, AR-03/29/2018, AZ-03/29/2018, CA-03/29/2018, CO-03/29/2018, CT-03/29/2018, DC-03/29/2018, DE-03/29/2018, FL-03/29/2018, GA-03/29/2018, HI-03/29/2018, IA-03/29/2018, ID-03/29/2018, IL-04/06/2018, IN-03/29/2018, KS-03/29/2018, KY-03/29/2018, LA-03/29/2018, MA-12/22/2017, MD-03/29/2018, ME-03/29/2018, MI-03/29/2018, MN-03/29/2018, MO-03/29/2018, MS-03/29/2018, MT-03/29/2018, NC-03/29/2018, ND-03/29/2018, NE-03/29/2018, NH-03/29/2018, NJ-04/25/2018, NM-03/29/2018, NV-03/29/2018, NY-03/29/2018, OH-03/29/2018, OK-03/29/2018, OR-03/29/2018, PA-03/29/2018, PR-03/29/2018, RI-03/29/2018, SC-03/29/2018, SD-03/29/2018, TN-03/29/2018, TX-03/29/2018, UT-03/29/2018, VA-03/29/2018, VI-03/29/2018, VT-03/29/2018, WA-03/29/2018, WI-03/29/2018, WV-03/29/2018, WY-03/29/2018 |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (RIC) PORTFOLIO MANAGEMENT (POOLS) PORTFOLIO MANAGEMENT (SMB) MANAGER SELECTION |
| OTHER ACTIVITIES |
|
COMMODITY TRADING ADVISOR |
ADVDB.CO • SOURCE: SEC FORM ADV