POLUS CAPITAL MANAGEMENT (US) INC.
Adviser information for POLUS CAPITAL MANAGEMENT (US) INC. last updated from Form ADV on March 29th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1 | $40.0M |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $40.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 1 | $40.0M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 100 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-129156 |
|---|---|
| SEC ERA File Number | 801-129156 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 323283 |
| Legal Entity Identifier | 984500EBDQE0XF6AE268 |
Principal Office
45 BROADWAY17TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 9:00AM-5.30PM
Tel: 917-971-1904, Fax: None
Websites
Chief Compliance Officer
MELANIE DAVISON
62 BUCKINGHAM GATE
LONDON
United Kingdom
Tel:
+44 75 5227 5216
M**************@***************M
(Full email address available in API data)
Regulatory Contact
DOROTA HOLOWIAK
COMPLIANCE OFFICER
62 BUCKINGHAM GATE
LONDON
United Kingdom
Tel:
+44 20 7259 4877
D**************@***************M
(Full email address available in API data)
Industry Affiliates
| BYBROOK CAPITAL BADMINTON FUND (GP) LIMITED | Sponsor, GP, manager of pooled investment vehicles |
| BYBROOK CAPITAL BURTON PARTNERSHIP (GP) LIMITED | Sponsor, GP, manager of pooled investment vehicles |
| BYBROOK CAPITAL FUND (GP) LIMITED | Sponsor, GP, manager of pooled investment vehicles |
| MEDIOBANCA | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersBanking or thrift institution |
| POLUS CAPITAL MANAGEMENT LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| POLUS US CLO I LTD. | Securitized Asset Fund | $40.0M | $9.6M | 1 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| POLUS CAPITAL MANAGEMENT GROUP LIMITED | Foreign Entity | – | SHAREHOLDER | 10/2023 | > 75% |
| CHALMERS, NICHOLAS, IAN | Individual | – | DIRECTOR | 10/2023 | < 5% |
| MEDIOBANCA-BANCA DI CREDITO FINANZIARIO S.P.A | Foreign Entity | POLUS CAPITAL MANAGEMENT GROUP LIMITED | SHAREHOLDER | 12/2015 | 50-75% |
| KIM, DAVID, DAE | Individual | – | DIRECTOR | 07/2023 | < 5% |
| Davison, Melanie, Jane | Individual | – | CHIEF COMPLIANCE OFFICER | 02/2024 | < 5% |
| Dova, Stefano | Individual | – | DIRECTOR | 03/2024 | < 5% |
| Rotunno, Annalisa | Individual | – | DIRECTOR | 03/2024 | < 5% |
| GOASGUEN, FRANK | Individual | – | DIRECTOR | 03/2024 | < 5% |