THE HARBINGER GROUP JV

CRD #110440 SEC #801-45421 BIRMINGHAM, AL 205/987-5500

SEC Registered Private Funds

Total AUM

$187.5K

Discretionary

$187.5K

Employees

Clients

Accounts

Firm Details

Organization Type: Other (specify) (JOINT VENTURE)
State of Formation: Alabama
Fiscal Year End: DECEMBER
Registration Date: --
Latest Filing: Mar 14, 2017
Branch Offices: --

Advisory Services

No services reported

Compensation Methods

No compensation methods reported

Ownership

Direct Owners & Executive Officers (Schedule A)

Name	Type	Title / Status	Ownership	Control
BAUDER, MICHAEL, CONRAD	I	VP & CHIEF COMPLIANCE OFFICER	NA
BAUDER, MICHAEL, CONRAD	I	VP & CHIEF COMPLIANCE OFFICER	NA
BAUDER, MICHAEL, CONRAD	I	VP & CHIEF COMPLIANCE OFFICER OF MANAGING VENTURER	NA
BAUDER, MICHAEL, CONRAD	I	VP & CHIEF COMPLIANCE OFFICER OF MANAGING VENTURER	NA
BAUDER, MICHAEL, CONRAD	I	VP & CHIEF COMPLIANCE OFFICER OF MANAGING VENTURER	NA
BAUDER, MICHAEL, CONRAD	I	VP & CHIEF COMPLIANCE OFFICER OF MANAGING VENTURER	NA
BAUDER, MICHAEL, CONRAD	I	VP & CHIEF COMPLIANCE OFFICER OF MANAGING VENTURER	NA
BAUDER, MICHAEL, CONRAD	I	VP & CHIEF COMPLIANCE OFFICER OF MANAGING VENTURER	NA
BAUDER, MICHAEL, CONRAD	I	VP & CHIEF COMPLIANCE OFFICER OF MANAGING VENTURER	NA
BAUDER, MICHAEL, CONRAD	I	VP & CHIEF COMPLIANCE OFFICER OF MANAGING VENTURER	NA
BERUEFFY, MAX	I	VICE PRESIDENT, ASSISTANT GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER OF MANAGING VENTURER	NA
BERUEFFY, MAX	I	VICE PRESIDENT, ASSISTANT GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER OF MANAGING VENTURER	NA
BERUEFFY, MAX	I	VICE PRESIDENT, ASSISTANT GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER OF MANAGING VENTURER	NA
BOUTWELL, DAVID, ALAN	I	EXECUTIVE VICE PRESIDENT & CONTROLLER OF MANAGING VENTURER	NA	Control
BOUTWELL, DAVID, ALAN	I	EXECUTIVE VICE PRESIDENT & CONTROLLER OF MANAGING VENTURER	NA	Control
BOUTWELL, DAVID, ALAN	I	EXECUTIVE VICE PRESIDENT & CONTROLLER OF MANAGING VENTURER	NA	Control
BOUTWELL, DAVID, ALAN	I	EXECUTIVE VICE PRESIDENT & CAO OF MANAGING VENTURER	NA	Control
BOUTWELL, DAVID, ALAN	I	EXECUTIVE VICE PRESIDENT & CFO OF MANAGING VENTURER	NA	Control
BOUTWELL, DAVID, ALAN	I	EXECUTIVE VICE PRESIDENT & CONTROLLER OF MANAGING VENTURER	NA	Control
BOUTWELL, DAVID, ALAN	I	EXECUTIVE VICE PRESIDENT & CONTROLLER OF MANAGING VENTURER	NA	Control
BOUTWELL, DAVID, ALAN	I	VICE PRESIDENT & CONTROLLER	NA	Control
BOUTWELL, DAVID, ALAN	I	EXECUTIVE VICE PRESIDENT & CFO OF MANAGING VENTURER	NA	Control
BOUTWELL, DAVID, ALAN	I	EXECUTIVE VICE PRESIDENT & CFO OF MANAGING VENTURER	NA	Control
BOUTWELL, DAVID, ALAN	I	EXECUTIVE VICE PRESIDENT & CFO OF MANAGING VENTURER	NA	Control
BOUTWELL, DAVID, ALAN	I	EXECUTIVE VICE PRESIDENT & CFO OF MANAGING VENTURER	NA	Control
BOUTWELL, DAVID, ALAN	I	EXECUTIVE VICE PRESIDENT & CFO OF MANAGING VENTURER	NA	Control
BOUTWELL, DAVID, ALAN	I	EXECUTIVE VICE PRESIDENT & CFO OF MANAGING VENTURER	NA	Control
BROOKE, WILLIAM, WADE	I	EXECUTIVE VICE PRESIDENT OF MANAGING VENTURER	NA	Control
BROOKE, WILLIAM, WADE	I	EXECUTIVE VICE PRESIDENT OF MANAGING VENTURER	NA	Control
BROOKE, WILLIAM, WADE	I	EXECUTIVE VICE PRESIDENT OF MANAGING VENTURER	NA	Control
BROOKE, WILLIAM, WADE	I	DIRECTOR OF MANAGING VENTURER	NA	Control
BROOKE, WILLIAM, WADE	I	DIRECTOR OF MANAGING VENTURER	NA	Control
BROOKE, WILLIAM, WADE	I	EXECUTIVE VICE PRESIDENT OF MANAGING VENTURER	NA	Control
BROOKE, WILLIAM, WADE	I	EXECUTIVE VICE PRESIDENT OF MANAGING VENTURER	NA	Control
BROOKE, WILLIAM, WADE	I	EXECUTIVE VICE PRESIDENT	NA	Control
BROOKE, WILLIAM, WADE	I	DIRECTOR OF MANAGING VENTURER	NA	Control
BROOKE, WILLIAM, WADE	I	DIRECTOR OF MANAGING VENTURER	NA	Control
BROOKE, WILLIAM, WADE	I	DIRECTOR OF MANAGING VENTURER	NA	Control
BROOKE, WILLIAM, WADE	I	DIRECTOR OF MANAGING VENTURER	NA	Control
HARBERT, RAYMOND, JONES	I	CHAIRMAN & CEO OF MANAGING VENTURER	NA	Control
HARBERT, RAYMOND, JONES	I	CHAIRMAN & CEO OF MANAGING VENTURER	NA	Control
HARBERT, RAYMOND, JONES	I	CHAIRMAN & CEO OF MANAGING VENTURER	NA	Control
HARBERT, RAYMOND, JONES	I	CHAIRMAN & CEO OF MANAGING VENTURER	NA	Control
HARBERT, RAYMOND, JONES	I	CHAIRMAN & CEO OF MANAGING VENTURER	NA	Control
HARBERT, RAYMOND, JONES	I	CHAIRMAN & CEO OF MANAGING VENTURER	NA	Control
HARBERT, RAYMOND, JONES	I	CHAIRMAN & CEO OF MANAGING VENTURER	NA	Control
HARBERT, RAYMOND, JONES	I	CHAIRMAN, DIRECTOR	NA	Control
HARBERT, RAYMOND, JONES	I	CHAIRMAN & CEO OF MANAGING VENTURER	NA	Control
HARBERT, RAYMOND, JONES	I	CHAIRMAN & CEO OF MANAGING VENTURER	NA	Control
HARBERT, RAYMOND, JONES	I	CHAIRMAN & CEO OF MANAGING VENTURER	NA	Control
HARBERT, RAYMOND, JONES	I	CHAIRMAN & CEO OF MANAGING VENTURER	NA	Control
HARBERT, RAYMOND, JONES	I	CHAIRMAN & CEO OF MANAGING VENTURER	NA	Control
HARBERT, RAYMOND, JONES	I	CHAIRMAN & CEO OF MANAGING VENTURER	NA	Control
HARRIS, JEFF, TODD	I	VICE PRESIDENT & ASSISTANT GENERAL COUNSEL OF MANAGING VENTURER	NA
HARRIS, JEFF, TODD	I	VICE PRESIDENT & ASSISTANT GENERAL COUNSEL OF MANAGING VENTURER	NA
HARRIS, JEFF, TODD	I	VICE PRESIDENT & ASSISTANT GENERAL COUNSEL OF MANAGING VENTURER	NA
HARRIS, JEFF, TODD	I	ASSOCIATE GENERAL COUNSEL	NA
KEETON, SONJA, JEAN	I	SENIOR VICE PRESIDENT & CHIEF ADMINISTRATIVE OFFICER OF MANAGING VENTURER	NA	Control
KEETON, SONJA, JEAN	I	SENIOR VICE PRESIDENT & CHIEF ADMINISTRATIVE OFFICER OF MANAGING VENTURER	NA	Control
KEETON, SONJA, JEAN	I	SENIOR VICE PRESIDENT & CHIEF ADMINISTRATIVE OFFICER OF MANAGING VENTURER	NA	Control
KEETON, SONJA, JEAN	I	SENIOR VICE PRESIDENT & CHIEF ADMINISTRATIVE OFFICER OF MANAGING VENTURER	NA	Control
KEETON, SONJA, JEAN	I	SENIOR VICE PRESIDENT & CHIEF ADMINISTRATIVE OFFICER OF MANAGING VENTURER	NA	Control
KEETON, SONJA, JEAN	I	SENIOR VICE PRESIDENT & CHIEF ADMINISTRATIVE OFFICER OF MANAGING VENTURER	NA	Control
KEETON, SONJA, JEAN	I	SENIOR VICE PRESIDENT & CHIEF ADMINISTRATIVE OFFICER OF MANAGING VENTURER	NA	Control
LUCAS, WILLIAM, RAY	I	GENERAL COUNSEL & SENIOR VICE-PRESIDENT OF MANAGING VENTURER	NA	Control
LUCAS, WILLIAM, RAY	I	GENERAL COUNSEL & EXECUTIVE VICE-PRESIDENT OF MANAGING VENTURER	NA	Control
LUCE, MICHAEL, DONEGAN	I	PRESIDENT & COO	NA	Control
LUCE, MICHAEL, DONEGAN	I	PRESIDENT & COO	NA	Control
LUCE, MICHAEL, DONEGAN	I	PRESIDENT & COO	NA	Control
LUCE, MICHAEL, DONEGAN	I	DIRECTOR, PRESIDENT & COO OF MANAGING VENTURER	NA	Control
LUCE, MICHAEL, DONEGAN	I	DIRECTOR, PRESIDENT & COO OF MANAGING VENTURER	NA	Control
LUCE, MICHAEL, DONEGAN	I	PRESIDENT & COO	NA	Control
LUCE, MICHAEL, DONEGAN	I	PRESIDENT & COO	NA	Control
LUCE, MICHAEL, DONEGAN	I	PRESIDENT & COO	NA	Control
LUCE, MICHAEL, DONEGAN	I	DIRECTOR, PRESIDENT & COO OF MANAGING VENTURER	NA	Control
LUCE, MICHAEL, DONEGAN	I	DIRECTOR, PRESIDENT & COO OF MANAGING VENTURER	NA	Control
LUCE, MICHAEL, DONEGAN	I	DIRECTOR, PRESIDENT & COO OF MANAGING VENTURER	NA	Control
LUCE, MICHAEL, DONEGAN	I	DIRECTOR, PRESIDENT & COO OF MANAGING VENTURER	NA	Control
MILLER, CHARLES, DONALD	I	EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFCIER OF MANAGING VENTURER	NA	Control
MILLER, CHARLES, DONALD	I	EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFCIER OF MANAGING VENTURER	NA	Control
MILLER, CHARLES, DONALD	I	EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFCIER OF MANAGING VENTURER	NA	Control
MILLER, CHARLES, DONALD	I	EXECUTIVE VICE PRESIDENT & CFO OF MANAGING VENTURER	NA	Control
MILLER, CHARLES, DONALD	I	EXECUTIVE VICE PRESIDENT & GLOBAL HEAD OF DISTRIBUTION OF MANAGING VENTURER	NA	Control
MILLER, CHARLES, DONALD	I	EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFCIER OF MANAGING VENTURER	NA	Control
MILLER, CHARLES, DONALD	I	EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFCIER OF MANAGING VENTURER	NA	Control
MILLER, CHARLES, DONALD	I	EXECUTIVE VICE PRESIDENT & GLOBAL HEAD OF DISTRIBUTION OF MANAGING VENTURER	NA	Control
MILLER, CHARLES, DONALD	I	EXECUTIVE VICE PRESIDENT & GLOBAL HEAD OF DISTRIBUTION OF MANAGING VENTURER	NA	Control
MILLER, CHARLES, DONALD	I	EXECUTIVE VICE PRESIDENT & GLOBAL HEAD OF DISTRIBUTION OF MANAGING VENTURER	NA	Control
MILLER, CHARLES, DONALD	I	EXECUTIVE VICE PRESIDENT & GLOBAL HEAD OF DISTRIBUTION OF MANAGING VENTURER	NA	Control
MILLER, CHARLES, DONALD	I	EXECUTIVE VICE PRESIDENT & GLOBAL HEAD OF DISTRIBUTION OF MANAGING VENTURER	NA	Control
MILLER, CHARLES, DONALD	I	EXECUTIVE VICE PRESIDENT & GLOBAL HEAD OF DISTRIBUTION OF MANAGING VENTURER	NA	Control
PIASSICK, JOEL, B	I	EXECUTIVE VICE PRESIDENT & GENERAL COUNSEL OF MANAGING VENTURER	NA	Control
PIASSICK, JOEL, B	I	EXECUTIVE VICE PRESIDENT & GENERAL COUNSEL OF MANAGING VENTURER	NA	Control
PIASSICK, JOEL, B	I	VICE PRESIDENT & GENERAL COUNSEL	NA	Control
PIASSICK, JOEL, BERNARD	I	EXECUTIVE VICE PRESIDENT OF MANAGING VENTURER	NA	Control
PIASSICK, JOEL, BERNARD	I	EXECUTIVE VICE PRESIDENT OF MANAGING VENTURER	NA	Control
PIASSICK, JOEL, BERNARD	I	EXECUTIVE VICE PRESIDENT & GENERAL COUNSEL OF MANAGING VENTURER	NA	Control
HARBERT FUND ADVISORS, INC.	DE	PARTNER AND MANAGING VENTURER	E	Control
HARBERT FUND ADVISORS, INC.	DE	PARTNER AND MANAGING VENTURER	E	Control
HARBERT FUND ADVISORS, INC.	DE	PARTNER AND MANAGING VENTURER	E	Control
HARBERT FUND ADVISORS, INC.	DE	PARTNER AND MANAGING VENTURER	E	Control
HARBERT FUND ADVISORS, INC.	DE	PARTNER AND MANAGING VENTURER	E	Control
HARBERT FUND ADVISORS, INC.	DE	PARTNER AND MANAGING VENTURER	E	Control
HARBERT FUND ADVISORS, INC.	DE	PARTNER AND MANAGING VENTURER	E	Control
HARBERT FUND ADVISORS, INC.	DE	PARTNER AND MANAGING VENTURER	E	Control
HARBERT FUND ADVISORS, INC.	DE	PARTNER AND MANAGING VENTURER	E	Control
HARBERT FUND ADVISORS, INC.	DE	PARTNER AND MANAGING VENTURER	E	Control
HARBERT FUND ADVISORS, INC.	DE	PARTNER AND MANAGING VENTURER	E	Control
HARBERT FUND ADVISORS, INC.	DE	PARTNER AND MANAGING VENTURER	E	Control
THE HARBINGER GROUP, INC.	DE	PARTNER AND MANAGING VENTURER	E	Control
THE HARBINGER GROUP, INC.	DE	PARTNER	E	Control
JOSAR ASSOCIATES, INC.	DE	PARTNER	B
JOSAR ASSOCIATES, INC.	DE	PARTNER	B
JOSAR ASSOCIATES, INC.	DE	PARTNER	B
JOSAR ASSOCIATES, INC.	DE	PARTNER	B
JOSAR ASSOCIATES, INC.	DE	PARTNER	B
JOSAR ASSOCIATES, INC.	DE	PARTNER	B
JOSAR ASSOCIATES, INC.	DE	PARTNER	B
JOSAR ASSOCIATES, INC.	DE	PARTNER	B
JOSAR ASSOCIATES, INC.	DE	PARTNER	B
JOSAR ASSOCIATES, INC.	DE	PARTNER	B
JOSAR ASSOCIATES, INC.	DE	PARTNER	B
JOSAR ASSOCIATES, INC.	DE	PARTNER	B
JOSAR ASSOCIATES, INC.	DE	PARTNER	B
JOSAR ASSOCIATES, INC.	DE	PARTNER	B

Indirect Owners (Schedule B)

Name	Type	Entity	Ownership	Control
HARBERT MANAGEMENT CORPORATION	DE	HARBINGER CORPORATION	E	Control
HARBERT MANAGEMENT CORPORATION	DE	HARBINGER CORPORATION	E	Control
HARBERT MANAGEMENT CORPORATION	DE	HARBINGER CORPORATION	E	Control
HARBERT MANAGEMENT CORPORATION	DE	HARBINGER CORPORATION	E	Control
HARBERT MANAGEMENT CORPORATION	DE	HARBINGER CORPORATION	E	Control
HARBERT MANAGEMENT CORPORATION	DE	HARBINGER CORPORATION	E	Control
HARBERT MANAGEMENT CORPORATION	DE	HARBINGER CORPORATION	E	Control
HARBERT MANAGEMENT CORPORATION	DE	HARBINGER CORPORATION	E	Control
HARBERT MANAGEMENT CORPORATION	DE	HARBINGER CORPORATION	E	Control
HARBERT MANAGEMENT CORPORATION	DE	HARBINGER CORPORATION	E	Control
HARBERT MANAGEMENT CORPORATION	DE	HARBINGER CORPORATION	E	Control
HARBERT MANAGEMENT CORPORATION	DE	HARBINGER CORPORATION	E	Control
HARBERT MANAGEMENT CORPORATION	DE	HARBINGER CORPORATION	E	Control
HARBERT MANAGEMENT CORPORATION	DE	HARBINGER CORPORATION	E	Control
HARBINGER CORPORATION	DE	HARBERT FUND ADVISORS, INC.	E	Control
HARBINGER CORPORATION	DE	HARBERT FUND ADVISORS, INC.	E	Control
HARBINGER CORPORATION	DE	HARBERT FUND ADVISORS, INC.	E	Control
HARBINGER CORPORATION	DE	HARBERT FUND ADVISORS, INC.	E	Control
HARBINGER CORPORATION	DE	HARBERT FUND ADVISORS, INC.	E	Control
HARBINGER CORPORATION	DE	HARBINGER GROUP, INC.	E	Control
HARBINGER CORPORATION	DE	HARBINGER GROUP, INC.	E	Control
HARBINGER CORPORATION	DE	HARBINGER GROUP, INC.	E	Control
HARBINGER CORPORATION	DE	HARBERT FUND ADVISORS, INC.	E	Control
HARBINGER CORPORATION	DE	HARBERT FUND ADVISORS, INC.	E	Control
HARBINGER CORPORATION	DE	HARBERT FUND ADVISORS, INC.	E	Control
HARBINGER CORPORATION	DE	HARBERT FUND ADVISORS, INC.	E	Control
HARBINGER CORPORATION	DE	HARBERT FUND ADVISORS, INC.	E	Control
HARBINGER CORPORATION	DE	HARBERT FUND ADVISORS, INC.	E	Control
WILSON, JOEL, REDMAN	I	JOSAR ASSOCIATES, INC.	E
WILSON, JOEL, REDMAN	I	JOSAR ASSOCIATES, INC.	E
WILSON, JOEL, REDMAN	I	JOSAR ASSOCIATES, INC.	E
WILSON, JOEL, REDMAN	I	JOSAR ASSOCIATES, INC.	E
WILSON, JOEL, REDMAN	I	JOSAR ASSOCIATES, INC.	E
WILSON, JOEL, REDMAN	I	JOSAR ASSOCIATES, INC.	E
WILSON, JOEL, REDMAN	I	JOSAR ASSOCIATES, INC.	E
WILSON, JOEL, REDMAN	I	JOSAR ASSOCIATES, INC.	E
WILSON, JOEL, REDMAN	I	JOSAR ASSOCIATES, INC.	E
WILSON, JOEL, REDMAN	I	JOSAR ASSOCIATES, INC.	E
WILSON, JOEL, REDMAN	I	JOSAR ASSOCIATES, INC.	E
WILSON, JOEL, REDMAN	I	JOSAR ASSOCIATES, INC.	E
WILSON, JOEL, REDMAN	I	JOSAR ASSOCIATES, INC.	E
WILSON, JOEL, REDMAN	I	JOSAR ASSOCIATES, INC.	E
HARBERT, RAYMOND, JONES	I	HARBERT MANAGEMENT CORPORATION	D	Control
HARBERT, RAYMOND, JONES	I	HARBERT MANAGEMENT CORPORATION	D	Control
HARBERT, RAYMOND, JONES	I	HARBERT MANAGEMENT CORPORATION	D	Control
HARBERT, RAYMOND, JONES	I	HARBERT MANAGEMENT CORPORATION	D	Control
HARBERT, RAYMOND, JONES	I	HARBERT MANAGEMENT CORPORATION	D	Control
HARBERT, RAYMOND, JONES	I	HARBERT MANAGEMENT CORPORATION	D	Control
HARBERT, RAYMOND, JONES	I	HARBERT MANAGEMENT CORPORATION	D	Control
HARBERT, RAYMOND, JONES	I	HARBERT MANAGEMENT CORPORATION	D	Control
HARBERT, RAYMOND, JONES	I	HARBERT MANAGEMENT CORPORATION	D	Control
HARBERT, RAYMOND, JONES	I	HARBERT MANAGEMENT CORPORATION	D	Control
HARBERT, RAYMOND, JONES	I	HARBERT MANAGEMENT CORPORATION	D	Control
HARBERT, RAYMOND, JONES	I	HARBERT MANAGEMENT CORPORATION	D	Control
HARBERT, RAYMOND, JONES	I	HARBERT MANAGEMENT CORPORATION	D	Control
HARBERT, RAYMOND, JONES	I	HARBERT MANAGEMENT CORPORATION	D	Control

Registrations

Federal

Mar 14, 2017 REGISTERED

Notice Filings (1)

Address

2100 THIRD AVENUE NORTH, STE 600
BIRMINGHAM, AL 35203
United States

Phone: 205/987-5500