{"url":"https://nivawealth.com/firms/icg-investments-162589","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/162589","regulatoryAum":49687036125,"crd":"162589","secFileNumber":"801-79072","legalName":"Icg Investments Inc","displayName":"Icg Investments","website":null,"founded":null,"organization":"Delaware corporation","fiscalYearEnd":"December","headquarters":{"street":"277 Park Avenue, 40th & 41st Floor","city":"New York","state":"NY","stateName":"New York","country":"United States","postalCode":"10172"},"tradeNames":[],"registration":{"secApproved":"24 January 2014","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":94,"advisory":54,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"discretionary":49687036125,"discretionaryAccounts":115,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":63,"nonAumClients":0},"clientTypes":[{"label":"Pooled investment vehicles","clients":113,"regulatoryAum":49680905321},{"label":"Insurance companies","clients":2,"regulatoryAum":6130804}],"fees":[],"feeNotes":[],"custodians":[{"name":"JP Morgan Chase N.A.","shortName":"J.P. Morgan","location":"Brooklyn, NY","smaAssets":3738088},{"name":"U.S. Bank NA","shortName":"U.S. Bank NA","location":"Milwaukee, WI","smaAssets":5998116}],"custodyNote":"Icg Investments has custody of client assets.","otherCustodians":[],"leadership":[{"name":"James O'Connor","title":"Chief Compliance Officer & Co-Chief Control Officer","crd":"7158740"},{"name":"David Bicarregui","title":"Director & Authorized Officer","crd":"4086740"},{"name":"Ryan Levitt","title":"Director","crd":"8004559"},{"name":"Brian Spenner","title":"Director","crd":"2529073"}],"ownership":[{"label":"Icg FMC Limited","detail":"Shareholder in the 75% or more ownership band and a control person, since July 2013."},{"label":"Icg PLC","detail":"Indirect owner: shareholder of icg fmc limited of Icg FMC Limited and a control person, since July 2013.","parent":"Icg FMC Limited"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":4,"privateResidences":0},"listedOfficeAddresses":1,"officesByState":[{"state":"New York","offices":1,"addresses":[{"street":"277 Park Avenue, 40th & 41st Floor","city":"New York","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"212-710-9650","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Performance-based fees"],"activities":["Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":null,"assetMix":[{"label":"Other","percent":100,"detail":"Private Debt Investments, Consisting of Subordinated Debt, Second Lien Debt and First Lien Debt."}],"privateFunds":67},"sources":{"adv1FilingDate":"23 July 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/162589/PDF/162589.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Icg Investments have?","answer":"Icg Investments has 115 clients and manages $49.7 billion for them, as of July 2026. They include 113 pooled investment vehicles and 2 insurance companies.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 23 July 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Icg Investments offer?","answer":"Icg Investments provides portfolio management for pooled vehicles and portfolio management for institutions.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Icg Investments use?","answer":"Icg Investments’ separately managed account assets are held at U.S. Bank NA (Milwaukee, WI), with $5,998,116 and JP Morgan Chase N.A. (Brooklyn, NY), with $3,738,088. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 23 July 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Icg Investments have?","answer":"Icg Investments has 0 investment adviser representatives registered with state securities authorities, out of 94 employees, and 54 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":"What does Icg Investments invest in?","answer":"At the end of its last fiscal year, Icg Investments’ separately managed accounts held 100% private debt investments, consisting of subordinated debt, second lien debt and first lien debt.. It advises 67 private funds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Icg Investments?","answer":"Icg Investments’ direct owner is Icg FMC Limited (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 23 July 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Icg Investments get paid?","answer":"Icg Investments is paid through a percentage of assets under management and performance-based fees. 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."}