PARK AVENUE INSTITUTIONAL ADVISERS LLC

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Park Avenue Institutional Advisers is based out of New York. Park Avenue Institutional Advisers is a large advisory firm with 28 clients and discretionary assets under management (AUM) of $6,929,147,659 (Form ADV from 2020-03-13). Their last reported 13F filing for Q2 2020 included $3,055,000 in managed 13F securities and a top 10 holdings concentration of 100.0%. Park Avenue Institutional Advisers's largest holding is iShares iBoxx $ High Yield Corp Bond ETF with shares held of 18,000. Whalewisdom has at least 23 13F filings

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06/30/2020

13F Activity

  • Market Value $3.055 Million
  • Prior Market Value $837 Thousand
  • New Purchases2 stocks
  • Additional Purchases0 stocks
  • Sold out of1 stock
  • Reduced holdings in0 stocks
  • Top 10 Holdings % 100.00 %
  • Turnover % [1]:60.00%
  • Turnover Alt % [2]: 65.11 %
  • Time Held Top20:3.40 quarters
  • Time Held Top10:3.40 quarters
  • Time Held All:3.40 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

06/30/2020

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2020-05-15

Performance for Q1 2020: 1.0%
Performance Last 4 Quarters: -49.9%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

PARK AVENUE INSTITUTIONAL ADVISERS LLC
Classified as Hedge Fund
10 HUDSON YARDS
NEW YORK NY    10001
Country: United States

Business Phone: 212-919-2517
Fax:
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 81
Other Business Activities: commodity pool operator or commodity trading advisor
Advisor Fees/Compensation: Percentage of assets under management,Performance-based fees
Amount of client funds and securities:
Total Number of Clients: 28
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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PARK AVENUE INSTITUTIONAL ADVISERS LLC

ownership team - last updated 2020-03-13
Name Title Start Date Direct/Indirect % Ownership

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
PARK AVENUE INSTITUTIONAL ADVISERS CLO LTD 2019-2 Cayman Islands 805-9989955470 Securitized Asset Fund 394,464,559 250,000
PARK AVENUE INSTITUTIONAL ADVISERS CLO LTD 2016-1 Cayman Islands 805-6417549684 Securitized Asset Fund 386,541,065 250,000
PARK AVENUE INSTITUTIONAL ADVISERS CLO LTD 2018-1 Cayman Islands 805-4449462937 Securitized Asset Fund 388,291,023 250,000
PARK AVENUE INSTITUTIONAL ADVISERS CLO LTD 2017-1 Cayman Islands 805-1131022850 Securitized Asset Fund 431,828,483 250,000
PARK AVENUE INSTITUTIONAL ADVISERS CLO LTD 2019-1 Cayman Islands 805-7347755481 Securitized Asset Fund 392,568,987 250,000

PARK AVENUE INSTITUTIONAL ADVISERS LLC

ownership team - last updated 2019-08-09
Name Title Start Date Direct/Indirect % Ownership
GUARDIAN INVESTOR SERVICES LLC MEMBER 02/01/2015 Direct 75% or more
Fund Name Position direct/indirect start date end date
RS INVESTMENT MANAGEMENT CO. LLC MEMBER direct 2006-08-01
RS INVESTMENT MANAGEMENT CO. LLC MEMBER direct 2006-09-01
PARK AVENUE INSTITUTIONAL ADVISERS LLC MEMBER direct 2015-02-01
SORELL, THOMAS, GEORGE CHIEF INVESTMENT OFFICER 02/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
GUARDIAN ASSET MANAGEMENT CORP. SR. MANAGING DIRECTOR direct 1995-04-01
GUARDIAN INVESTOR SERVICES LLC CHIEF INVESTMENT OFFICER direct 2003-03-01
GUARDIAN BAILLIE GIFFORD LIMITED NON-EXECUTIVE DIRECTOR direct 2003-05-01
RS INVESTMENT MANAGEMENT CO. LLC DIRECTOR direct 2006-08-01
LOWE ENTERPRISES INVESTMENT MANAGEMENT, LLC DIRECTOR direct 2010-08-01
PARK AVENUE INSTITUTIONAL ADVISERS LLC CHIEF INVESTMENT OFFICER direct 2015-02-01
GUARDIAN INVESTOR SERVICES LLC SR. MANAGING DIRECTOR direct 1994-08-01 2003-08-11
GUARDIAN BAILLIE GIFFORD LIMITED DIRECTOR direct 2003-05-01 2011-02-25
WALTER, JOHN, HAROLD SR. VICE PRESIDENT AND CHIEF FINANCIAL OFFICER 02/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
GUARDIAN INVESTOR SERVICES LLC SR. VP & CONTROLLER direct 2006-06-01
PARK AVENUE SECURITIES LLC INTERIM CHIEF FINANCIAL OFFICER direct 2013-05-01
PARK AVENUE SECURITIES LLC VICE PRESIDENT, FINANCIAL OFFICER, WHOLESALE DIVISION direct 2015-04-01
PARK AVENUE INSTITUTIONAL ADVISERS LLC SR. VICE PRESIDENT AND CHIEF FINANCIAL OFFICER direct 2015-02-01
PARK AVENUE INSTITUTIONAL ADVISERS LLC SR. VICE PRESIDENT AND CONTROLLER direct 2015-02-01
BESSEL, MICHAEL, JOSEPH CHIEF COMPLIANCE OFFICER 02/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
GUARDIAN INVESTOR SERVICES LLC CHIEF COMPLIANCE OFFICER, ADVISER direct 2011-11-01
DLJ LBO PLANS MANAGEMENT CORPORATION CHIEF COMPLIANCE OFFICER direct 2007-03-01
DLJ REAL ESTATE CAPITAL PARTNERS, INC. CHIEF COMPLIANCE OFFICER direct 2007-03-01
DLJ DIVERSIFIED PARTNERS, INC. CHIEF COMPLIANCE OFFICER direct 2007-03-01
DLJ INVESTMENT PARTNERS, INC. CHIEF COMPLIANCE OFFICER direct 2007-03-01
DLJ MERCHANT BANKING INC CHIEF COMPLIANCE OFFICER direct 2007-03-01
DLJ MERCHANT BANKING II, INC. CHIEF COMPLIANCE OFFICER direct 2007-03-01
GLOBAL RETAIL PARTNERS, INC. CHIEF COMPLIANCE OFFICER direct 2007-03-01
DLJ MERCHANT BANKING III INC CHIEF COMPLIANCE OFFICER direct 2007-03-01
DLJ INVESTMENT PARTNERS II, INC. CHIEF COMPLIANCE OFFICER direct 2007-03-01
CREDIT SUISSE ALTERNATIVE CAPITAL, INC. CHIEF COMPLIANCE OFFICER direct 2007-03-01
CREDIT SUISSE INVESTMENT ADVISORY PARTNERS LLC CHIEF COMPLIANCE OFFICER direct 2007-03-01
DLJ MB ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2007-03-01
GLOBAL ASSET MANAGEMENT USA INC ASSOCIATE GENERAL COUNSEL AND COMPLIANCE MANAGER direct 2002-05-01
GAM USA INC. ASSOCIATE GENERAL COUNSEL, SECRETARY AND CHIEF COMPLIANCE OFFICER direct 2004-05-01
GAM USA INC. ASSOCIATE GENERAL COUNSEL, ASSISTANT SECRETARY AND CHIEF COMPLIANCE OFFICER direct 2004-05-01
CREDIT SUISSE (BERMUDA) LIMITED CHIEF COMPLIANCE OFFICER direct 2007-03-01
CREDIT SUISSE (BERMUDA) LIMITED CHIEF COMPLIANCE OFFICER direct 2011-11-01
MERCHANT CAPITAL, INC. CHIEF COMPLIANCE OFFICER direct 2007-03-01
CREDIT SUISSE INDEX CO., INC. CHIEF COMPLIANCE OFFICER direct 2007-03-01
CREDIT SUISSE GLOBAL OPPORTUNITIES ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2007-03-01
DLJ GROWTH CAPITAL, INC. CHIEF COMPLIANCE OFFICER direct 2007-03-01
CREDIT SUISSE PRIVATE EQUITY ADVISERS LLC CHIEF COMPLIANCE OFFICER direct 2007-03-01
TRG MANAGEMENT, LP CHIEF COMPLIANCE OFFICER direct 2005-09-01
VOLARIS VOLATILITY MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2009-06-01
PARK AVENUE INSTITUTIONAL ADVISERS LLC CHIEF COMPLIANCE OFFICER direct 2015-02-01
ECKER, ROBERTO, C LLC MANAGER 05/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
PARK AVENUE INSTITUTIONAL ADVISERS LLC LLC MANAGER direct 2016-05-01
DUPONT, DOUGLAS PRESIDENT AND LLC MANAGER 05/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
PARK AVENUE INSTITUTIONAL ADVISERS LLC PRESIDENT AND LLC MANAGER direct 2016-05-01
FLANNIGAN, JOHN, HUNTER LLC MANAGER 05/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
PARK AVENUE INSTITUTIONAL ADVISERS LLC LLC MANAGER direct 2015-02-01
THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA OWNER GUARDIAN INVESTOR SERVICES LLC 02/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
GUARDIAN ASSET MANAGEMENT CORP. OWNER direct 1990-01-01
PARK AVENUE SECURITIES LLC OWNER indirect 1992-11-01
GUARDIAN BAILLIE GIFFORD LIMITED OWNER indirect 1992-11-01
GUARDIAN TRUST COMPANY, FSB SOLE SHAREHOLDER direct 1999-04-01
GUARDIAN INVESTOR SERVICES LLC OWNER direct 2006-08-01
RS INVESTMENT MANAGEMENT CO. LLC OWNER indirect 2006-09-01
LOWE ENTERPRISES INVESTMENT MANAGEMENT, LLC MEMBER indirect 2010-06-01
PARK AVENUE INSTITUTIONAL ADVISERS LLC OWNER indirect 2015-02-01
GUARDIAN INVESTOR SERVICES CORPORATION OWNER indirect 1992-11-01 2001-06-06
RS INVESTMENT MANAGEMENT CO. LLC OWNER indirect 1970-06-01 2006-09-01
GUARDIAN INVESTOR SERVICES LLC OWNER indirect 1970-06-01 2006-09-21

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
PARK AVENUE INSTITUTIONAL ADVISERS CLO LTD 2016-1 Cayman Islands 805-6417549684 Securitized Asset Fund 393,217,646 250,000
PARK AVENUE INSTITUTIONAL ADVISERS CLO LTD 2018-1 Cayman Islands 805-4449462937 Securitized Asset Fund 384,979,796 250,000
PARK AVENUE INSTITUTIONAL ADVISERS CLO LTD 2017-1 Cayman Islands 805-1131022850 Securitized Asset Fund 436,481,814 250,000
PARK AVENUE INSTITUTIONAL ADVISERS CLO LTD 2019-1 Cayman Islands 805-7347755481 Securitized Asset Fund 393,878,152 250,000

PARK AVENUE INSTITUTIONAL ADVISERS LLC

ownership team - last updated 2019-03-28
Name Title Start Date Direct/Indirect % Ownership
GUARDIAN INVESTOR SERVICES LLC MEMBER 02/01/2015 Direct 75% or more
Fund Name Position direct/indirect start date end date
RS INVESTMENT MANAGEMENT CO. LLC MEMBER direct 2006-08-01
RS INVESTMENT MANAGEMENT CO. LLC MEMBER direct 2006-09-01
PARK AVENUE INSTITUTIONAL ADVISERS LLC MEMBER direct 2015-02-01
SORELL, THOMAS, GEORGE CHIEF INVESTMENT OFFICER 02/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
GUARDIAN ASSET MANAGEMENT CORP. SR. MANAGING DIRECTOR direct 1995-04-01
GUARDIAN INVESTOR SERVICES LLC CHIEF INVESTMENT OFFICER direct 2003-03-01
GUARDIAN BAILLIE GIFFORD LIMITED NON-EXECUTIVE DIRECTOR direct 2003-05-01
RS INVESTMENT MANAGEMENT CO. LLC DIRECTOR direct 2006-08-01
LOWE ENTERPRISES INVESTMENT MANAGEMENT, LLC DIRECTOR direct 2010-08-01
PARK AVENUE INSTITUTIONAL ADVISERS LLC CHIEF INVESTMENT OFFICER direct 2015-02-01
GUARDIAN INVESTOR SERVICES LLC SR. MANAGING DIRECTOR direct 1994-08-01 2003-08-11
GUARDIAN BAILLIE GIFFORD LIMITED DIRECTOR direct 2003-05-01 2011-02-25
WALTER, JOHN, HAROLD SR. VICE PRESIDENT AND CHIEF FINANCIAL OFFICER 02/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
GUARDIAN INVESTOR SERVICES LLC SR. VP & CONTROLLER direct 2006-06-01
PARK AVENUE SECURITIES LLC INTERIM CHIEF FINANCIAL OFFICER direct 2013-05-01
PARK AVENUE SECURITIES LLC VICE PRESIDENT, FINANCIAL OFFICER, WHOLESALE DIVISION direct 2015-04-01
PARK AVENUE INSTITUTIONAL ADVISERS LLC SR. VICE PRESIDENT AND CHIEF FINANCIAL OFFICER direct 2015-02-01
PARK AVENUE INSTITUTIONAL ADVISERS LLC SR. VICE PRESIDENT AND CONTROLLER direct 2015-02-01
BESSEL, MICHAEL, JOSEPH CHIEF COMPLIANCE OFFICER 02/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
GUARDIAN INVESTOR SERVICES LLC CHIEF COMPLIANCE OFFICER, ADVISER direct 2011-11-01
DLJ LBO PLANS MANAGEMENT CORPORATION CHIEF COMPLIANCE OFFICER direct 2007-03-01
DLJ REAL ESTATE CAPITAL PARTNERS, INC. CHIEF COMPLIANCE OFFICER direct 2007-03-01
DLJ DIVERSIFIED PARTNERS, INC. CHIEF COMPLIANCE OFFICER direct 2007-03-01
DLJ INVESTMENT PARTNERS, INC. CHIEF COMPLIANCE OFFICER direct 2007-03-01
DLJ MERCHANT BANKING INC CHIEF COMPLIANCE OFFICER direct 2007-03-01
DLJ MERCHANT BANKING II, INC. CHIEF COMPLIANCE OFFICER direct 2007-03-01
GLOBAL RETAIL PARTNERS, INC. CHIEF COMPLIANCE OFFICER direct 2007-03-01
DLJ MERCHANT BANKING III INC CHIEF COMPLIANCE OFFICER direct 2007-03-01
DLJ INVESTMENT PARTNERS II, INC. CHIEF COMPLIANCE OFFICER direct 2007-03-01
CREDIT SUISSE ALTERNATIVE CAPITAL, INC. CHIEF COMPLIANCE OFFICER direct 2007-03-01
CREDIT SUISSE INVESTMENT ADVISORY PARTNERS LLC CHIEF COMPLIANCE OFFICER direct 2007-03-01
DLJ MB ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2007-03-01
GLOBAL ASSET MANAGEMENT USA INC ASSOCIATE GENERAL COUNSEL AND COMPLIANCE MANAGER direct 2002-05-01
GAM USA INC. ASSOCIATE GENERAL COUNSEL, SECRETARY AND CHIEF COMPLIANCE OFFICER direct 2004-05-01
GAM USA INC. ASSOCIATE GENERAL COUNSEL, ASSISTANT SECRETARY AND CHIEF COMPLIANCE OFFICER direct 2004-05-01
CREDIT SUISSE (BERMUDA) LIMITED CHIEF COMPLIANCE OFFICER direct 2007-03-01
CREDIT SUISSE (BERMUDA) LIMITED CHIEF COMPLIANCE OFFICER direct 2011-11-01
MERCHANT CAPITAL, INC. CHIEF COMPLIANCE OFFICER direct 2007-03-01
CREDIT SUISSE INDEX CO., INC. CHIEF COMPLIANCE OFFICER direct 2007-03-01
CREDIT SUISSE GLOBAL OPPORTUNITIES ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2007-03-01
DLJ GROWTH CAPITAL, INC. CHIEF COMPLIANCE OFFICER direct 2007-03-01
CREDIT SUISSE PRIVATE EQUITY ADVISERS LLC CHIEF COMPLIANCE OFFICER direct 2007-03-01
TRG MANAGEMENT, LP CHIEF COMPLIANCE OFFICER direct 2005-09-01
VOLARIS VOLATILITY MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2009-06-01
PARK AVENUE INSTITUTIONAL ADVISERS LLC CHIEF COMPLIANCE OFFICER direct 2015-02-01
ECKER, ROBERTO, C LLC MANAGER 05/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
PARK AVENUE INSTITUTIONAL ADVISERS LLC LLC MANAGER direct 2016-05-01
DUPONT, DOUGLAS PRESIDENT AND LLC MANAGER 05/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
PARK AVENUE INSTITUTIONAL ADVISERS LLC PRESIDENT AND LLC MANAGER direct 2016-05-01
FLANNIGAN, JOHN, HUNTER LLC MANAGER 05/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
PARK AVENUE INSTITUTIONAL ADVISERS LLC LLC MANAGER direct 2015-02-01
THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA OWNER GUARDIAN INVESTOR SERVICES LLC 02/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
GUARDIAN ASSET MANAGEMENT CORP. OWNER direct 1990-01-01
PARK AVENUE SECURITIES LLC OWNER indirect 1992-11-01
GUARDIAN BAILLIE GIFFORD LIMITED OWNER indirect 1992-11-01
GUARDIAN TRUST COMPANY, FSB SOLE SHAREHOLDER direct 1999-04-01
GUARDIAN INVESTOR SERVICES LLC OWNER direct 2006-08-01
RS INVESTMENT MANAGEMENT CO. LLC OWNER indirect 2006-09-01
LOWE ENTERPRISES INVESTMENT MANAGEMENT, LLC MEMBER indirect 2010-06-01
PARK AVENUE INSTITUTIONAL ADVISERS LLC OWNER indirect 2015-02-01
GUARDIAN INVESTOR SERVICES CORPORATION OWNER indirect 1992-11-01 2001-06-06
RS INVESTMENT MANAGEMENT CO. LLC OWNER indirect 1970-06-01 2006-09-01
GUARDIAN INVESTOR SERVICES LLC OWNER indirect 1970-06-01 2006-09-21

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
PARK AVENUE INSTITUTIONAL ADVISERS CLO LTD 2016-1 Cayman Islands 805-6417549684 Securitized Asset Fund 392,524,476 250,000
PARK AVENUE INSTITUTIONAL ADVISERS CLO LTD 2018-1 Cayman Islands 805-4449462937 Securitized Asset Fund 397,063,055 250,000
PARK AVENUE INSTITUTIONAL ADVISERS CLO LTD 2017-1 Cayman Islands 805-1131022850 Securitized Asset Fund 441,471,978 250,000

PARK AVENUE INSTITUTIONAL ADVISERS LLC

ownership team - last updated 2018-04-24
Name Title Start Date Direct/Indirect % Ownership
GUARDIAN INVESTOR SERVICES LLC MEMBER 02/01/2015 Direct 75% or more
Fund Name Position direct/indirect start date end date
RS INVESTMENT MANAGEMENT CO. LLC MEMBER direct 2006-08-01
RS INVESTMENT MANAGEMENT CO. LLC MEMBER direct 2006-09-01
PARK AVENUE INSTITUTIONAL ADVISERS LLC MEMBER direct 2015-02-01
SORELL, THOMAS, GEORGE CHIEF INVESTMENT OFFICER 02/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
GUARDIAN ASSET MANAGEMENT CORP. SR. MANAGING DIRECTOR direct 1995-04-01
GUARDIAN INVESTOR SERVICES LLC CHIEF INVESTMENT OFFICER direct 2003-03-01
GUARDIAN BAILLIE GIFFORD LIMITED NON-EXECUTIVE DIRECTOR direct 2003-05-01
RS INVESTMENT MANAGEMENT CO. LLC DIRECTOR direct 2006-08-01
LOWE ENTERPRISES INVESTMENT MANAGEMENT, LLC DIRECTOR direct 2010-08-01
PARK AVENUE INSTITUTIONAL ADVISERS LLC CHIEF INVESTMENT OFFICER direct 2015-02-01
GUARDIAN INVESTOR SERVICES LLC SR. MANAGING DIRECTOR direct 1994-08-01 2003-08-11
GUARDIAN BAILLIE GIFFORD LIMITED DIRECTOR direct 2003-05-01 2011-02-25
WALTER, JOHN, HAROLD SR. VICE PRESIDENT AND CHIEF FINANCIAL OFFICER 02/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
GUARDIAN INVESTOR SERVICES LLC SR. VP & CONTROLLER direct 2006-06-01
PARK AVENUE SECURITIES LLC INTERIM CHIEF FINANCIAL OFFICER direct 2013-05-01
PARK AVENUE SECURITIES LLC VICE PRESIDENT, FINANCIAL OFFICER, WHOLESALE DIVISION direct 2015-04-01
PARK AVENUE INSTITUTIONAL ADVISERS LLC SR. VICE PRESIDENT AND CHIEF FINANCIAL OFFICER direct 2015-02-01
PARK AVENUE INSTITUTIONAL ADVISERS LLC SR. VICE PRESIDENT AND CONTROLLER direct 2015-02-01
BESSEL, MICHAEL, JOSEPH CHIEF COMPLIANCE OFFICER 02/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
GUARDIAN INVESTOR SERVICES LLC CHIEF COMPLIANCE OFFICER, ADVISER direct 2011-11-01
DLJ LBO PLANS MANAGEMENT CORPORATION CHIEF COMPLIANCE OFFICER direct 2007-03-01
DLJ REAL ESTATE CAPITAL PARTNERS, INC. CHIEF COMPLIANCE OFFICER direct 2007-03-01
DLJ DIVERSIFIED PARTNERS, INC. CHIEF COMPLIANCE OFFICER direct 2007-03-01
DLJ INVESTMENT PARTNERS, INC. CHIEF COMPLIANCE OFFICER direct 2007-03-01
DLJ MERCHANT BANKING INC CHIEF COMPLIANCE OFFICER direct 2007-03-01
DLJ MERCHANT BANKING II, INC. CHIEF COMPLIANCE OFFICER direct 2007-03-01
GLOBAL RETAIL PARTNERS, INC. CHIEF COMPLIANCE OFFICER direct 2007-03-01
DLJ MERCHANT BANKING III INC CHIEF COMPLIANCE OFFICER direct 2007-03-01
DLJ INVESTMENT PARTNERS II, INC. CHIEF COMPLIANCE OFFICER direct 2007-03-01
CREDIT SUISSE ALTERNATIVE CAPITAL, INC. CHIEF COMPLIANCE OFFICER direct 2007-03-01
CREDIT SUISSE INVESTMENT ADVISORY PARTNERS LLC CHIEF COMPLIANCE OFFICER direct 2007-03-01
DLJ MB ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2007-03-01
GLOBAL ASSET MANAGEMENT USA INC ASSOCIATE GENERAL COUNSEL AND COMPLIANCE MANAGER direct 2002-05-01
GAM USA INC. ASSOCIATE GENERAL COUNSEL, SECRETARY AND CHIEF COMPLIANCE OFFICER direct 2004-05-01
GAM USA INC. ASSOCIATE GENERAL COUNSEL, ASSISTANT SECRETARY AND CHIEF COMPLIANCE OFFICER direct 2004-05-01
CREDIT SUISSE (BERMUDA) LIMITED CHIEF COMPLIANCE OFFICER direct 2007-03-01
CREDIT SUISSE (BERMUDA) LIMITED CHIEF COMPLIANCE OFFICER direct 2011-11-01
MERCHANT CAPITAL, INC. CHIEF COMPLIANCE OFFICER direct 2007-03-01
CREDIT SUISSE INDEX CO., INC. CHIEF COMPLIANCE OFFICER direct 2007-03-01
CREDIT SUISSE GLOBAL OPPORTUNITIES ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2007-03-01
DLJ GROWTH CAPITAL, INC. CHIEF COMPLIANCE OFFICER direct 2007-03-01
CREDIT SUISSE PRIVATE EQUITY ADVISERS LLC CHIEF COMPLIANCE OFFICER direct 2007-03-01
TRG MANAGEMENT, LP CHIEF COMPLIANCE OFFICER direct 2005-09-01
VOLARIS VOLATILITY MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER direct 2009-06-01
PARK AVENUE INSTITUTIONAL ADVISERS LLC CHIEF COMPLIANCE OFFICER direct 2015-02-01
ECKER, ROBERTO, C LLC MANAGER 05/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
PARK AVENUE INSTITUTIONAL ADVISERS LLC LLC MANAGER direct 2016-05-01
DUPONT, DOUGLAS PRESIDENT AND LLC MANAGER 05/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
PARK AVENUE INSTITUTIONAL ADVISERS LLC PRESIDENT AND LLC MANAGER direct 2016-05-01
THOMPSON, ROBERT, WILLIAM LLC MANAGER 05/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
PARK AVENUE INSTITUTIONAL ADVISERS LLC LLC MANAGER direct 2016-05-01
THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA OWNER GUARDIAN INVESTOR SERVICES LLC 02/01/2015 Indirect 75% or more
Fund Name Position direct/indirect start date end date
GUARDIAN ASSET MANAGEMENT CORP. OWNER direct 1990-01-01
PARK AVENUE SECURITIES LLC OWNER indirect 1992-11-01
GUARDIAN BAILLIE GIFFORD LIMITED OWNER indirect 1992-11-01
GUARDIAN TRUST COMPANY, FSB SOLE SHAREHOLDER direct 1999-04-01
GUARDIAN INVESTOR SERVICES LLC OWNER direct 2006-08-01
RS INVESTMENT MANAGEMENT CO. LLC OWNER indirect 2006-09-01
LOWE ENTERPRISES INVESTMENT MANAGEMENT, LLC MEMBER indirect 2010-06-01
PARK AVENUE INSTITUTIONAL ADVISERS LLC OWNER indirect 2015-02-01
GUARDIAN INVESTOR SERVICES CORPORATION OWNER indirect 1992-11-01 2001-06-06
RS INVESTMENT MANAGEMENT CO. LLC OWNER indirect 1970-06-01 2006-09-01
GUARDIAN INVESTOR SERVICES LLC OWNER indirect 1970-06-01 2006-09-21

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
PARK AVENUE INSTITUTIONAL ADVISERS CLO LTD 2017-1 Cayman Islands 805-1131022850 Securitized Asset Fund 450,000,000 250,000
PARK AVENUE INSTITUTIONAL ADVISERS CLO LTD 2016-1 Cayman Islands 805-6417549684 Securitized Asset Fund 400,000,000 250,000

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