Pea Capital LLC (New York)

Pea Capital LLC is a large advisory firm based in New York. It manages $4.45 billion of regulatory assets for 16 client accounts. It has been registered with the SEC as an adviser since 2004 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 47 other states.

Pea Capital provides portfolio management for individuals and small businesses, portfolio management for investment companies, and 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.

Pea Capital: assets under management

The assets under management (AUM) of Pea Capital LLC is $4.45 billion, all of which is managed in discretionary accounts. The firm's AUM has gone down by -39% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $4.45 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $278.14 million each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Pea Capital LLC for their services and products based on a percentage of assets under management. 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.

Careers at Pea Capital LLC

Janet Squitieri joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Kenneth William Corba	Managing director and chief executive officer	1 Jul 2001	Other	1557407
Dennis Paul Mckechnie	Managing director	1 Jul 2001	Other	3210732
Jeffrey Donald Parker	Managing director	1 Jul 2001	Other	2776739
John Keith Schneider	Managing director	1 Jul 2001	Other	2539320
Francis Casimir Poli	Chief legal officer	1 Jul 2001	Other	1628917
Allianz Dresdner Asset Management U.S. Equities Llc	Member	1 Jul 2001	75% - 100%	01-0645160
Allianz Global Investors U.S. Equities Llc	Member	1 Jul 2001	75% - 100%	01-0645160
John C Maney	Chief financial officer	1 Oct 2001	Other	4478905
Taegin Daniel Goddard	Managing director	1 Jan 2002	Other	2968248
Annemarie Louise Mariano	Chief compliance officer	1 Jan 2003	Other	2869303
Bruce Lewis Koepfgen	Chief executive officer	1 Apr 2004	Other	830273
Jessica Lyn Caruso	Chief compliance officer	1 Mar 2005	Other	2959335
Allianz Global Investors Ny Holdings Llc	Member	1 Apr 2005	50% - 75%	00-0000000
Janet Squitieri	Chief compliance officer	1 Nov 2005	Other	2947248

Indirect Owners

The SEC currently registers 23 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Allianz Paclife Partners Llc	General partner/ unitholder	1 May 2000	Other	33-0915825
Adam U.S. Holding Llc	Managing member	1 May 2000	25% - 50%	95-1079000
Pacific Asset Management Llc	Member	1 May 2000	25% - 50%	95-1079000
Pacific Life Insurance Company	Member	1 May 2000	75% - 100%	95-1079000
Pacific Mutual Holding Company	Sole stockholder	1 May 2000	75% - 100%	33-0769201
Allianz Dresdner Asset Management Of America Llc	Member	1 May 2000	75% - 100%	06-1605361
Allianz Of America Inc	Member	1 May 2000	75% - 100%	107032
Allianz Aktiengesellschaft	Stockholder	1 May 2000	75% - 100%	98-0122343
Allianz Global Investors Of America Llc	Member	1 May 2000	75% - 100%	06-1605361
Allianz Dresdner Asset Management Of America L.P.	Sole member	1 Jul 2001	75% - 100%	06-1349805
Allianz Global Investors Of America L.P.	Sole member	1 Jul 2001	75% - 100%	06-1349805
Allianz Dresdner Asset Management Of America Llc	Unitholder	1 Jan 2002	50% - 75%	06-1605361
Allianz Global Investors Of America Llc	Unitholder	1 Jan 2002	50% - 75%	06-1605361
Pacific Life Insurance Company	Member	1 Jan 2003	25% - 50%	95-1079000
Allianz Dresdner Asset Management Of America Holdings Inc.	Managing member	1 Jan 2003	Other	43-1993556
Allianz Dresdner Asset Management Aktiengesellschaft	Stockholder	1 Jan 2003	75% - 100%	43-1993556
Allianz Aktiengesellschaft	Stockholder	1 Jan 2003	75% - 100%	98-0122343
Allianz Global Investors Of America Holdings Inc.	Managing member	1 Jan 2003	Other	43-1993556
Allianz Global Investors Aktiengesellschaft	Stockholder	1 Jan 2003	75% - 100%	43-1993556
Allianz Global Investors U.S. Equities Llc	Member	1 Apr 2005	75% - 100%	01-0645160
Allianz Aktiengesellschaft	Stockholder	1 Jun 2005	75% - 100%	98-0122343
Allianz Argos 6 Vermogensverwaltungsgesellschaft Mbh	Stockholder	1 Jun 2005	25% - 50%	00-0000000
Allianz Finanzbeteiligungs Gmbh	Stockholder	1 Jun 2005	75% - 100%	00-0000000

Based in New York

The principal office where Pea Capital LLC performs its advisory services is located at 1345 Avenue Of The Americas, New York, NY 10105 The mailing address of the firm is 680 Newport Center Drive, Newport Beach, CA 92660. The firm also has an office outside of the United States.

You can reach the main office by calling the phone number (212) 739-3000 or by fax (212) 739-3948. The normal business hours are 9:00 a.m.-5:00 p.m. on Monday - Friday.