Ridgewood Private Equity Partners, LLC (Montvale)


Ridgewood Private Equity Partners, LLC is a mid-sized advisory firm based in Montvale. It manages $438.09 million of regulatory assets for 8 client accounts. It has been registered with the SEC as an adviser since 2016 and has operated in the jurisdictions of Delaware and New Jersey.

Ridgewood Private Equity Partners provides portfolio management for pooled investment vehicles and portfolio management for businesses and institutional clients. It prepares financial plans for less than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Ridgewood Private Equity Partners: assets under management

The assets under management (AUM) of Ridgewood Private Equity Partners, LLC is $438.09 million. The firm's AUM has grown by 195% since the beginning of its operation, and $3.75 million of the total AUM is attributable to clients outside of the United States.

The firm manages $424.76 million in discretionary accounts and $13.33 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $60.68 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $13.33 million.
Ridgewood Private Equity Partners has custody of $5.14 million in cash and securities for 8 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 Ridgewood Private Equity Partners, LLC for their services and products based on fixed fees 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 Robert Ernest Swanson serves?

The firm provides services to pooled investment vehicles and state or municipal government entities. The largest group of clients of Robert Ernest Swanson is pooled investment vehicles with 6 clients and $411.35 million of assets under management. Among the 8 most similar advisory firms, Ridgewood Private Equity Partners has the 2nd highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $424.68 million for 7 clients. 25% of the firm’s clients are foreign persons or businesses.

Ridgewood Private Equity Partners also advises several private funds. Namely, four private equity funds. The minimum investment commitment required of non-related persons ranges from $500,000 to $10,000,000.

Careers at Ridgewood Private Equity Partners, LLC

The company employs 9 people that are either part- or full-time employees. 56 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There’s a single person 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.

Robert Ernest Swanson has been acting as President since 1 Apr 2014. Michael Lawrence Albrecht joined the executive team most recently as the Managing Director.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Matthew Elias Swanson Senior managing director 1 Apr 2014 Other 5507732
Robert Ernest Swanson Chairman 1 Apr 2014 75% - 100% 1332429
Maria Eugenia Haggerty Vp-legal & chief compliance officer 1 Apr 2014 Other 5507741
Robert E. Swanson Trustee Swanson Family Control Trust Owner 1 Apr 2014 75% - 100% xxx-xx-xxxx
Jeffrey Howard Strasberg Chief financial officer 1 Apr 2014 Other 4944412
Samuel Jurek Lissner Vice president 1 Apr 2014 Other 6630171
Matthew E Swanson Senior managing director 1 Apr 2014 Other 5507732
Maria E Haggerty Vp-legal & chief compliance officer 1 Apr 2014 Other 5507741
Samuel Lissner Vice president 1 Apr 2014 Other 6630171
Samuel J Lissner Vice president 1 Apr 2014 Other 6630171
Ross Maxwell Posner Senior managing director 1 Jun 2014 Other 1806039
Michael Lawrence Albrecht Managing director 1 Sep 2014 Other 3042877

Indirect Owners

The SEC currently registers 1 indirect owner.

Name Entity Date acquired Ownership Employer ID
Robert E Swanson Trustee 1 Mar 2006 75% - 100% 1173824

Based in Montvale

The principal office where Ridgewood Private Equity Partners, LLC performs its advisory services is located at 14 Philips Parkway, Montvale, NJ 07645, which is also the mailing address of the firm. An additional office of the firm is in New York, NY. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 2014479000 or by fax 2014470474. The normal business hours are 9 a.m. - 5 p.m. on Monday - Friday. You can find more information about the New York firm at ridgewoodpep.com.