We provide rapid, commercially-astute reviews of your approval requests. Our committee members are not career administrators; they are seasoned Wall Street veterans, including former traders, bankers, lawyers, and operations specialists.
This deep, practical experience allows them to quickly assess what's material, ask the right questions, and respect the pace of your business. Our role isn't to be a roadblock. When we identify an issue, we deliver a clear pathway to a solution, not just a rejection.
When you sell retained interests or transfer operational control, the path forward becomes less certain — and more risky.
Everything is for sale — including control rights. And once they’re sold, your name may still be on the deal.
Pentalpha Governance fills the role of the Independent Member of Your CLO’s Management Infrastructure — acting as a trusted oversight layer and conflict-free arbiter inside your transaction.
Our core services include:
We monitor execution to ensure contractual integrity and economic fairness — not hedge-driven outcomes.
As a second-party reviewer, we independently price and validate asset transfers across warehouse lines and between funds.
We track the trading activity and ownership of control-eligible bonds to flag risks before they become front-page stories.
We help you embed proactive controls and reduce exposure to “bad actor” behavior before the deal even closes.
We stay engaged as the “honest broker” — prepared to clarify complex events and preserve your brand in the market, if needed.
“We get it.”
Pentalpha is staffed by professionals with real-world deal experience — former trading desk managers, structured finance bankers, and workout operators — not just attorneys or consultants.
FINRA, numerous State Banking Commissions, and U.S. Federal contractor standards
Top 10 banks and leading finance companies voluntarily incorporate Pentalpha’s oversight services into their financing instruments as a governance best practice.
Pentalpha has worked with leading global financial institutions, ensuring Corporate CLO Issuers can execute their responsibilities with precision and reliability.
