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| Peregrine Capital Management, Inc. |
800 LaSalle Avenue, Suite 1850
Minneapolis, MN 55402-2018
www.peregrinecapital.com
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9007913
612 343-7600
FAX: 612 343-7631
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| Firm Category: Advisor (Investment Manager) |
| Affiliate/Subsidiary: | Subsidiary of Wells Fargo & Company |
| | | # of Professional Employees: | 15 |
| SEC Federal File #: | 801-21400 |
Federal Registration Date: | 6/15/1984 |
| Firm is registered with SEC: | Y | | |
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| Assets under Management |
Assets |
# of Clients |
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| Tax-Exempt |
$3,293,000 |
33 |
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| Taxable |
$28,000 |
2 |
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| Total |
$3,321,000 |
35 |
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| 100.00% Individually Managed |
| 100.00% Discretionary |
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| All assets in thousands of dollars |
| Valuation Date: 6/30/2009 |
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| Tax-exempt Clients |
Assets(000's) |
Client |
|
Description |
| Corporate |
$972,000 |
17 |
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| Public |
$468,000 |
6 |
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| Union |
$43,000 |
1 |
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| Foundation |
$92,000 |
5 |
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| Endowment |
$237,000 |
3 |
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| Other1 |
$1,481,000 |
1 |
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Mutual Funds |
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| Taxable Clients |
Assets(000's) |
Client |
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Description |
| Individuals |
$28,000 |
2 |
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| Mutual Fund Details |
| Mutual Fund Assets: |
$1,481,000 |
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| % of mutual funds in Equity Funds |
100.00% |
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| Asset Mix |
| Asset Type |
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Pct. |
|
| Large Cap Growth |
Tax-Exempt |
62.00% |
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| Small Cap Growth |
Tax-Exempt |
15.00% |
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| Small Cap Value |
Tax-Exempt |
23.00% |
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| Large Cap Growth |
Taxable |
36.00% |
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| Small Cap Growth |
Taxable |
64.00% |
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| Mr. Robert B. Mersky CFA | | President |
| 612 343-7610 | | Job Function: Senior Investment Officer, President / CEO, Tax-exempt Portfolio Manager, Taxable Portfolio Manager, Equity Portfolio Manager, Research Analyst |
| Email: bob.mersky@peregrinecapital.com | | Year Hired: 1984 | | Specialty: Equities | |
| Mr. Jason R. Ballsrud CFA | | Senior Vice President |
| 612 343-7643 | | Job Function: Investment Officer, Tax-exempt Portfolio Manager, Taxable Portfolio Manager, Equity Portfolio Manager, Research Analyst |
| Email: jason.ballsrud@peregrinecapital.com | | Year Hired: 1997 | |
| Mr. Tasso H. Coin Jr, CFA | | Senior Vice President |
| 612 343-7625 | | Job Function: Investment Officer, Tax-exempt Portfolio Manager, Taxable Portfolio Manager, Equity Portfolio Manager, Research Analyst |
| Email: tasso.coin@peregrinecapital.com | | Year Hired: 1995 | | Specialty: Equities | |
| Mr. John S. Dale CFA | | Senior Vice President |
| 612 343-7629 | | Job Function: Investment Officer, Tax-exempt Portfolio Manager, Taxable Portfolio Manager, Equity Portfolio Manager, Research Analyst |
| Email: john.dale@peregrinecapital.com | | Year Hired: 1987 | | Specialty: Equities | |
| Mr. William A. Grierson CFA | | Senior Vice President |
| 612 343-7621 | | Job Function: Investment Officer, Tax-exempt Portfolio Manager, Taxable Portfolio Manager, Equity Portfolio Manager, Research Analyst |
| Email: bill.grierson@peregrinecapital.com | | Year Hired: 2000 | | Specialty: Equities | |
| Mr. Daniel J. Hagen CFA | | Senior Vice President |
| 612 343-7657 | | Job Function: Investment Officer, Tax-exempt Portfolio Manager, Taxable Portfolio Manager, Equity Portfolio Manager, Research Analyst |
| Email: daniel.hagen@peregrinecapital.com | | Year Hired: 1996 | | Specialty: Equities | |
| Mr. Gary E. Nussbaum CFA | | Senior Vice President |
| 612 343-7628 | | Job Function: Investment Officer, Tax-exempt Portfolio Manager, Taxable Portfolio Manager, Equity Portfolio Manager, Research Analyst |
| Email: gary.nussbaum@peregrinecapital.com | | Year Hired: 1990 | | Specialty: Equities | |
| Mr. Douglas G. Pugh CFA | | Senior Vice President |
| 612 343-7624 | | Job Function: Investment Officer, Tax-exempt Portfolio Manager, Taxable Portfolio Manager, Equity Portfolio Manager, Research Analyst |
| Email: douglas.pugh@peregrinecapital.com | | Year Hired: 1997 | | Specialty: Equities | |
| Mr. James Ross CFA | | Senior Vice President |
| 612 343-7630 | | Job Function: Investment Officer, Tax-exempt Portfolio Manager, Taxable Portfolio Manager, Equity Portfolio Manager, Research Analyst |
| Email: jim.ross@peregrinecapital.com | | Year Hired: 1996 | | Specialty: Equities | |
| Mr. Paul E. von Kuster CFA | | Senior Vice President |
| 612 343-7619 | | Job Function: Investment Officer, Tax-exempt Portfolio Manager, Taxable Portfolio Manager, Equity Portfolio Manager, Research Analyst |
| Email: paul.vonkuster@peregrinecapital.com | | Year Hired: 1984 | | Specialty: Equities | |
| Ms. Stefanie M. Adams | | Senior Vice President |
| 612 343-7660 | | Job Function: Client Contact / Marketing Officer, Maintains Firm's Consultant Relationships |
| Email: stefanie.adams@peregrinecapital.com | | Year Hired: 2003 | |
| Mr. David S. Lunt CFA | | Senior Vice President |
| 612 343-7632 | | Job Function: Compliance Officer |
| Email: dave.lunt@peregrinecapital.com | | Year Hired: 2003 | |
| Mr. Colin Sharp | | Systems Manager |
| 612 343-7609 | | Job Function: Obtains Portfolio Mgmt Software |
| Email: colin.sharp@peregrinecapital.com | | Year Hired: 1999 | |
| Ms. Patricia Belousek | | |
| 612 343-7616 | | Job Function: Person Responsible for Proxy Voting |
| Email: pat.belousek@peregrinecapital.com | | Year Hired: 1995 | |
| Ms. Barbara McFadden | | Senior Vice President |
| 612 343-7642 | | Job Function: Trader |
| Email: barbara.mcfadden@peregrinecapital.com | | Year Hired: 1988 | | Specialty: Equity Trader | |
| Mr. Paul Wurm | | Senior Vice President |
| 612 343-7641 | | Job Function: Trader |
| Email: paul.wurm@peregrinecapital.com | | Year Hired: 1985 | | Specialty: Equity Trader | |
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| Largest Holdings | Microsoft, Medtronic, Cisco, Charles Schwab, Goldman Sachs, Target, Google, Apple, Qualcomm, Intel |
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| Investment Advisory Services | Asset Manager, Equity Assets |
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| Investment Counsel Services | Equities - Growth; Equities - Large Cap; Equities - Mid Cap; Equities - Small Cap; Equities - Value: Low P/E |
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Investment Style & Fee Schedule
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| Investment Style |
Small Cap Growth: identifies information gaps in small and misunderstood companies. Growth Equity: profits by long-term investment in dynamic growth stocks that possess high quality and excellent value. Small Cap Value: takes advantage of the return opportunities in small companies with exceptional value. |
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| Research: | 60% from In-house Sources, 40% from Street Sources |
| Minimum Account Size: | Growth Equity: $35 million; Small Cap Value: $20 million; Small Cap Growth Equity: $20 million. |
| Fee Schedule: | Growth Equity: First $25 million: .75%; next $25 million: .6%; next $100 million: .5%; balance: .35%. Small Cap Growth Equity: First $50 million: 1%; next $50 million: .75%; balance: .65%. Small Cap Value: First $50 million: 1%; next $50 million: .9%; next $50 million: .8%; next $50 million: .7%; balance: .6%. |
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| GIPS performance standards, Y/N: Y |
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| Association Memberships: | CFA Institute |
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| Socially Screened Investments Y | |
| Social Restrictions: | Per client request. |
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