Investment adviser · CRD 166257

PINGORA ASSET MANAGEMENT, LLC

Investment adviser filing (IA)

DENVER, CO, United States · Form ADV filed Apr 29, 2022

Regulatory AUM: $490M
Client accounts: 11
Employees: 25
Advisory professionals: 24

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client type	Clients	Regulatory assets	Share of AUM
Pooled investment vehicles	9	$469,044,124	95.7%
Corporations & businesses	2	$20,996,659	4.3%

Filing source

Form ADV 1648718 · Apr 29, 2022 · Item 5.D

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Private funds & service providers

6 Private funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

PINGORA MSR JV I-B, LPOther Private Fund · Last reported Apr 29, 2022$320MGross asset value

Feeder funds

PINGORA MSR JV FEEDER I-B, LP

Fund administrator SS&C TECHNOLOGIES, INC. EDINA, Minnesota, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ERNST & YOUNG NEW YORK, New York, United States

Custodian BMO HARRIS BANK N.A. CHICAGO, Illinois, United States Related to adviser: No

Custodian WELLS FARGO BANK, N.A. COLUMBIA, Maryland, United States Related to adviser: No

Marketer WELLS FARGO SECURITIES, LLC CHARLOTTE, North Carolina, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

ERNST & YOUNG
PCAOB 42

Fund details & source

Fund ID: 805-1655629253
Reported beneficial owners: 2
Minimum commitment: $50M
Form D file number: 021-27557001
Form D file number: 021-27557002

Form ADV 1648718 · Apr 29, 2022 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

PINGORA MSR JV I-A, LPOther Private Fund · Last reported Apr 29, 2022$142MGross asset value

Fund administrator SS&C TECHNOLOGIES, INC. EDINA, Minnesota, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ERNST & YOUNG NEW YORK, New York, United States

Custodian BMO HARRIS BANK N.A. CHICAGO, Illinois, United States Related to adviser: No

Custodian WELLS FARGO BANK, N.A. COLUMBIA, Maryland, United States Related to adviser: No

Marketer WELLS FARGO SECURITIES, LLC CHARLOTTE, North Carolina, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

ERNST & YOUNG
PCAOB 42

Fund details & source

Fund ID: 805-4409911208
Reported beneficial owners: 2
Minimum commitment: $50M
Form D file number: 021-275570

Form ADV 1648718 · Apr 29, 2022 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

PINGORA MSR OPPORTUNITY FUND I-B, L.P.Other Private Fund · Last reported Apr 29, 2022$6.38MGross asset value

Feeder funds

PINGORA MSR OPPORTUNITY FEEDER I-B, LLC

Fund administrator SS&C TECHNOLOGIES, INC. EDINA, Minnesota, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ERNST & YOUNG NEW YORK, New York, United States

Custodian WELLS FARGO BANK, N.A. COLUMBIA, Maryland, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

ERNST & YOUNG
PCAOB 42

Fund details & source

Fund ID: 805-6124556568
Reported beneficial owners: 45
Minimum commitment: $100K
Form D file number: 021-19501503

Form ADV 1648718 · Apr 29, 2022 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

PINGORA MSR OPPORTUNITY FUND I-B (AI), L.P.Other Private Fund · Last reported Apr 29, 2022$1.01MGross asset value

Fund administrator SS&C TECHNOLOGIES, INC. EDINA, Minnesota, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ERNST & YOUNG NEW YORK, New York, United States

Custodian WELLS FARGO BANK, N.A. COLUMBIA, Maryland, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

ERNST & YOUNG
PCAOB 42

Fund details & source

Fund ID: 805-1157807028
Reported beneficial owners: 14
Minimum commitment: $25K
Form D file number: 021-19501601

Form ADV 1648718 · Apr 29, 2022 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

PINGORA MSR OPPORTUNITY FUND I-A, L.P.Other Private Fund · Last reported Apr 29, 2022$332KGross asset value

Feeder funds

PINGORA MSR OPPORTUNITY FEEDER I-A, L.P.

Fund administrator SS&C TECHNOLOGIES, INC. EDINA, Minnesota, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ERNST & YOUNG NEW YORK, New York, United States

Custodian WELLS FARGO BANK, N.A. COLUMBIA, Maryland, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

ERNST & YOUNG
PCAOB 42

Fund details & source

Fund ID: 805-3026671654
Reported beneficial owners: 45
Minimum commitment: $100K
Form D file number: 021-195015

Form ADV 1648718 · Apr 29, 2022 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

PINGORA MSR OPPORTUNITY FUND I-A (AI), L.P.Other Private Fund · Last reported Apr 29, 2022$63.1KGross asset value

Fund administrator SS&C TECHNOLOGIES, INC. EDINA, Minnesota, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ERNST & YOUNG NEW YORK, New York, United States

Custodian WELLS FARGO BANK, N.A. COLUMBIA, Maryland, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

ERNST & YOUNG
PCAOB 42

Fund details & source

Fund ID: 805-3095891862
Reported beneficial owners: 14
Minimum commitment: $25K
Form D file number: 021-195016

Form ADV 1648718 · Apr 29, 2022 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Services & filing details

Most recent filing: Apr 29, 2022. View historical filings

Reported services

Pooled investment vehicle management · Business portfolio management

Compensation

Percentage of assets · Performance-based

Principal office

1819 WAZEE STREET, SECOND FLOOR
DENVER, CO, 80202-1782, United States

CRD 166257

Filing source

Form ADV 1648718 · Apr 29, 2022 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.