{"url":"https://nivawealth.com/firms/bregal-investments-285006","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/285006","regulatoryAum":27547553868,"crd":"285006","secFileNumber":"801-108649","legalName":"Bregal Investments, Inc.","displayName":"Bregal Investments","website":"http://www.bregal.com/","linkedinUrl":"http://www.linkedin.com/company/bregal-energy/about/","xUrl":"http://www.twitter.com/bregalsagemount?lang=en","founded":null,"organization":"Delaware corporation","fiscalYearEnd":"December","headquarters":{"street":"200 Park Avenue, 45th Floor","city":"New York","state":"NY","stateName":"New York","country":"United States","postalCode":"10166"},"tradeNames":[],"registration":{"secApproved":"5 December 2016","noticeFilings":1,"latestNoticeFiling":"5 December 2016","inventory":{"sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_FIRM_SEC_Feed_10_15_2026.xml.gz","sourceAsOf":"2026-10-15","retrievedAt":"2026-10-16T03:16:53.781384+00:00","noticeFilings":[{"status":"Notice Filed","jurisdiction":"New York","effectiveDate":"2016-12-05"}],"registrationStatus":[{"status":"Approved","jurisdiction":"SEC","effectiveDate":"2016-12-05"}]}},"wealthAumPerClient":null,"staff":{"employees":101,"advisory":62,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"discretionary":27547553868,"discretionaryAccounts":44,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":82,"nonAumClients":0},"clientTypes":[{"label":"Pooled investment vehicles","clients":44,"regulatoryAum":27547553868}],"fees":[],"feeNotes":[],"feePrograms":[],"brochureCoverage":{"scope":"sec_inventory","status":"not_processed","checkedAt":"2026-10-16T07:52:29.503218+00:00","documents":[]},"custodians":[],"custodyNote":"Bregal Investments has custody of $27.55B for 44 clients.","otherCustodians":[],"leadership":[{"name":"Jens Brenninkmeyer","title":"Chief Executive Officer, Bregal Investments, Inc.","crd":"6065052"},{"name":"Neil Syers","title":"Chief Financial Officer, Bregal Investments, Inc.","crd":"6043468"},{"name":"Conor Paur","title":"Chief Compliance Officer","crd":"6308267"},{"name":"Ronald Fishman","title":"Tax Director","crd":"6712739"},{"name":"Michelle Riley","title":"Chief Legal Officer, General Counsel, Bregal Investments, Inc.","crd":"6712736"},{"name":"Eugene Yoon","title":"Managing Partner, Bregal Sagemount","crd":"2757852"}],"ownership":[{"label":"Bregal Investments London Limited","detail":"Owner in the 75% or more ownership band and a control person, since December 2015."},{"label":"Cofra Holding Ag","detail":"Indirect owner: a owner of Bregal Investments London Limited in the 75% or more band and a control person, since August 2021.","parent":"Bregal Investments London Limited"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"445 Cambridge Avenue","city":"Palo Alto"}]},{"state":"New York","offices":1,"addresses":[{"street":"200 Park Avenue, 45th Floor","city":"New York","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"212-704-3000","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Performance-based fees","Other"],"activities":["Portfolio management for pooled investment vehicles (other than investment companies)"],"financialPlanningClients":null,"assetMix":[],"privateFunds":44},"sources":{"adv1FilingDate":"30 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/285006/PDF/285006.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Bregal Investments have?","answer":"Bregal Investments has 44 clients and manages $27.5 billion for them, as of March 2026. They include 44 pooled investment vehicles.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Bregal Investments offer?","answer":"Bregal Investments provides portfolio management for pooled vehicles.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How many financial advisors does Bregal Investments have?","answer":"Bregal Investments has 0 investment adviser representatives registered with state securities authorities, out of 101 employees, and 62 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Bregal Investments?","answer":"Bregal Investments is owned through a holding company by Cofra Holding Ag. Its direct owner is Bregal Investments London Limited (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Bregal Investments get paid?","answer":"Bregal Investments is paid through a percentage of assets under management, performance-based fees and other arrangements. Its Form ADV lists no commissions among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}