ELEQUIN CAPITAL, LP
Adviser information for ELEQUIN CAPITAL, LP last updated from Form ADV on March 19th, 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 | Limited Partnership |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 13 |
|---|---|
| Investment Advisory/Research | 10 |
| Registered Broker-Dealer Representatives | 10 |
| 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 | 2 | $353.4M |
| Non-Discretionary | 0 | $0 |
| Total | 2 | $353.4M |
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 | 2 | $353.4M |
| 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 | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | Performance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Principal Office
1333 BROADWAYSUITE 500
NEW YORK
NY
United States
Monday - Friday, 9AM - 5PM
Tel: 929.226.2215, Fax: None
Websites
Chief Compliance Officer
CHRISTOPHER CROTTY
1333 BROADWAY
SUITE 500
NEW YORK
NY
United States
Tel:
917-685-0615
C****@*****************M
(Full email address available in API data)
Regulatory Contact
JAMES FINLAYSON
CHIEF OPERATING OFFICER
1333 BROADWAY
SUITE 500
NEW YORK
NY
United States
Tel:
917-359-7821
J****@*****************M
(Full email address available in API data)
Industry Affiliates
| ELEQUIN SECURITIES LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| ELEQUIN DIGITAL STRATEGIES, LLC | Hedge Fund | $51.2M | $0.1M | 9 |
| ELEQUIN INVESTMENTS, LLC | Hedge Fund | $302.2M | $0.1M | 9 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| GUTIERREZ, PETER, GERMAN | Individual | – | GENERAL PARTNER REPRESENTATIVE | 10/2019 | > 75% |
| Crotty, Christopher, Charles | Individual | – | CHIEF COMPLIANCE OFFICER | 05/2023 | < 5% |
| Finlayson, James, Drew | Individual | – | CHIEF OPERATING OFFICER | 06/2023 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 12th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| AB ACTIVE ETFS INC | TAX AWARE SHRT | 153K | 6K | – |
| ACCENTURE PLC IRELAND | SHS CLASS A | 28K | 92 | – |
| ADAMS DIVERSIFIED EQUITY FD | COM | 21 | 1 | – |
| AFLAC INC | COM | 5K | 51 | – |
| ALBERTSONS COS INC | COMMON STOCK | 18K | 910 | – |
| ALIBABA GROUP HLDG LTD | SPONSORED ADS | 267K | 4K | – |
| ALPHABET INC | CAP STK CL C | 19K | 102 | – |
| ALTRIA GROUP INC | COM | 2M | 40K | – |
| AMBARELLA INC | SHS | 18K | 330 | – |
| AMCOR PLC | ORD | 4K | 449 | – |
| AMDOCS LTD | SHS | 5K | 60 | – |
| AMERICAN AIRLS GROUP INC | COM | 4K | 391 | – |
| AMERICAN EXPRESS CO | COM | 9K | 38 | – |
| AMGEN INC | COM | 19K | 61 | – |
| ANNALY CAPITAL MANAGEMENT IN | COM NEW | 6K | 300 | – |
| APA CORPORATION | COM | 18K | 622 | – |
| ARK 21SHARES BITCOIN ETF | SHS BEN INT | 45M | 742K | – |
| AUTOMATIC DATA PROCESSING IN | COM | 9K | 36 | – |
| AUTONATION INC | COM | 9K | 55 | – |
| AXIS CAP HLDGS LTD | SHS | 4K | 63 | – |
| BARCLAYS BANK PLC | IPTH SR B S&P | 9K | 610 | – |
| BECTON DICKINSON & CO | COM | 4K | 18 | – |
| BELLRING BRANDS INC | COMMON STOCK | 18K | 314 | – |
| BEST BUY INC | COM | 59K | 705 | – |
| BHP GROUP LTD | SPONSORED ADS | 5K | 79 | – |
| BITWISE BITCOIN ETF TR | SHS BEN INT | 30M | 913K | – |
| BLACKSTONE MTG TR INC | COM CL A | 7K | 390 | – |
| BOEING CO | COM | 26K | 141 | – |
| BOOT BARN HLDGS INC | COM | 9K | 70 | – |
| BOSTON SCIENTIFIC CORP | COM | 18K | 234 | – |
| BRIDGEBIO PHARMA INC | COM | 8K | 314 | – |
| BRIDGER AEROSPACE GRP HLDGS | *W EXP 01/24/202 | 6K | 47K | – |
| BRINKER INTL INC | COM | 28K | 392 | – |
| BRITISH AMERN TOB PLC | SPONSORED ADR | 34K | 1K | – |
| BUNGE GLOBAL SA | COM SHS | 18K | 173 | – |
| CAESARS ENTERTAINMENT INC NE | COM | 20K | 500 | – |
| CALAMOS ETF TR | CONVERTIBLE EQTY | 6M | 231K | – |
| CAMTEK LTD | ORD | 21K | 164 | – |
| CAPITAL GRP FIXED INCM ETF T | MUNICIPAL INCOME | 25K | 948 | – |
| CAPRI HOLDINGS LIMITED | SHS | 26K | 796 | – |
| CAPTIVISION INC | USD ORD SHS | 801 | 300 | – |
| CARAVELLE INTERNATIONAL GROU | ORD SHS | 14 | 25 | – |
| CARPENTER TECHNOLOGY CORP | COM | 19K | 173 | – |
| CARTERS INC | COM | 13K | 207 | – |
| CATERPILLAR INC | COM | 18K | 55 | – |
| CENOVUS ENERGY INC | COM | 7K | 349 | – |
| CHIPOTLE MEXICAN GRILL INC | COM | 16K | 250 | – |
| CINTAS CORP | COM | 18K | 26 | – |
| CISCO SYS INC | COM | 9K | 196 | – |
| CITIGROUP INC | COM NEW | 18K | 290 | – |
| CLOROX CO DEL | COM | 28K | 204 | – |
| COMMERCE BANCSHARES INC | COM | 19K | 332 | – |
| COSTCO WHSL CORP NEW | COM | 27K | 32 | – |
| CROWN HLDGS INC | COM | 4K | 54 | – |
| CULLEN FROST BANKERS INC | COM | 18K | 179 | – |
| DIAMONDBACK ENERGY INC | COM | 9K | 47 | – |
| DISCOVER FINL SVCS | COM | 9K | 71 | – |
| DOMINION ENERGY INC | COM | 272K | 6K | – |
| DOMINOS PIZZA INC | COM | 9K | 17 | – |
| EATON CORP PLC | SHS | 27K | 85 | – |
| ELI LILLY & CO | COM | 18K | 20 | – |
| EMBRAER S.A. | SPONSORED ADS | 16K | 623 | – |
| EPAM SYS INC | COM | 5K | 25 | – |
| EQUINIX INC | COM | 17K | 23 | – |
| ESGL HLDGS LTD | *W EXP 10/19/202 | 260 | 20K | – |
| FAIR ISAAC CORP | COM | 19K | 13 | – |
| FEDEX CORP | COM | 18K | 61 | – |
| FERRARI N V | COM | 18K | 43 | – |
| FIDELITY NATIONAL FINANCIAL | FNF GROUP COM | 5K | 93 | – |
| FIDELITY WISE ORIGIN BITCOIN | SHS | 5M | 96K | – |
| FIRST TR EXCHANGE-TRADED FD | SSI STRG ETF | 611K | 18K | – |
| FIRST TR EXCHANGE-TRADED FD | MANAGD MUN ETF | 520K | 10K | – |
| FOX CORP | CL A COM | 18K | 523 | – |
| FUBOTV INC | COM | 10 | 8 | – |
| GANNETT CO INC | COM | 13K | 3K | – |
| GE AEROSPACE | COM NEW | 18K | 111 | – |
| GENTEX CORP | COM | 9K | 264 | – |
| GLAUKOS CORP | NOTE 2.750% 6/1 | 530K | – | – |
| GLAUKOS CORP | COM | 19K | 159 | – |
| GOLDMAN SACHS GROUP INC | COM | 13K | 29 | – |
| GROUP 1 AUTOMOTIVE INC | COM | 18K | 59 | – |
| HALLIBURTON CO | COM | 9K | 264 | – |
| HARTFORD FINL SVCS GROUP INC | COM | 18K | 178 | – |
| HCA HEALTHCARE INC | COM | 9K | 28 | – |
| HILTON WORLDWIDE HLDGS INC | COM | 19K | 87 | – |
| HONDA MOTOR LTD | ADR ECH CNV IN 3 | 18K | 558 | – |
| HUMANA INC | COM | 19K | 51 | – |
| HUNTSMAN CORP | COM | 68 | 3 | – |
| INFINERA CORP | NOTE 3.750% 8/0 | 3M | – | – |
| INSMED INC | NOTE 1.750% 1/1 | 3M | – | – |
| INTERACTIVE BROKERS GROUP IN | COM CL A | 18K | 149 | – |
| INTERDIGITAL INC | COM | 18K | 153 | – |
| INTUITIVE MACHINES INC | CLASS A COM | 330 | 100 | – |
| INTUITIVE SURGICAL INC | COM NEW | 9K | 21 | – |
| INVESCO EXCH TRADED FD TR II | NATL AMT MUNI | 1M | 61K | – |
| IRON MTN INC DEL | COM | 19K | 211 | – |
| ISHARES BITCOIN TR | SHS | 27K | 805 | – |
| ISHARES TR | SHRT NAT MUN ETF | 2M | 15K | – |
| ISHARES TR | CONV BD ETF | 5M | 67K | – |
| ISHARES TR | ISHARES BIOTECH | 9K | 64 | – |
| JEFFERIES FINL GROUP INC | COM | 15K | 302 | – |
| JOHNSON CTLS INTL PLC | SHS | 9K | 129 | – |
| JPMORGAN CHASE & CO. | COM | 9K | 45 | – |
| KEYCORP | COM | 26K | 2K | – |
| KIMBERLY-CLARK CORP | COM | 7K | 50 | – |
| KINROSS GOLD CORP | COM | 30K | 4K | – |
| LIBERTY MEDIA CORP DEL | COM LBTY LIV S A | 2K | 40 | – |
| LINCOLN ELEC HLDGS INC | COM | 18K | 96 | – |
| LKQ CORP | COM | 4K | 108 | – |
| LOWES COS INC | COM | 9K | 41 | – |
| MACERICH CO | COM | 19K | 1K | – |
| MAKEMYTRIP LIMITED MAURITIUS | SHS | 19K | 224 | – |
| MARATHON DIGITAL HOLDINGS IN | COM | 60 | 3 | – |
| MARATHON PETE CORP | COM | 18K | 103 | – |
| MARRIOTT INTL INC NEW | CL A | 18K | 76 | – |
| META PLATFORMS INC | CL A | 17K | 34 | – |
| METLIFE INC | COM | 5K | 65 | – |
| METTLER TOLEDO INTERNATIONAL | COM | 4K | 3 | – |
| MFS INTER INCOME TR | SH BEN INT | 266 | 100 | – |
| MICRON TECHNOLOGY INC | COM | 18K | 135 | – |
| MICROSTRATEGY INC | NOTE 0.750%12/1 | 67M | – | – |
| MOSAIC CO NEW | COM | 14K | 481 | – |
| MSC INDL DIRECT INC | CL A | 5K | 66 | – |
| NEWS CORP NEW | CL A | 4K | 158 | – |
| NOVO-NORDISK A S | ADR | 18K | 126 | – |
| NVIDIA CORPORATION | COM | 18K | 148 | – |
| NXP SEMICONDUCTORS N V | COM | 9K | 33 | – |
| ONEOK INC NEW | COM | 28K | 342 | – |
| OWENS CORNING NEW | COM | 174 | 1 | – |
| PALO ALTO NETWORKS INC | NOTE 0.375% 6/0 | 148M | – | – |
| PALO ALTO NETWORKS INC | COM | 10K | 29 | – |
| PETROLEO BRASILEIRO SA PETRO | SPONSORED ADR | 39K | 3K | – |
| PFIZER INC | COM | 18K | 650 | – |
| PHILIP MORRIS INTL INC | COM | 162K | 2K | – |
| PHILLIPS 66 | COM | 27K | 192 | – |
| POWER INTEGRATIONS INC | COM | 18K | 263 | – |
| PPG INDS INC | COM | 17K | 139 | – |
| PROCTER AND GAMBLE CO | COM | 7K | 40 | – |
| PROSPERITY BANCSHARES INC | COM | 19K | 304 | – |
| PRUDENTIAL FINL INC | COM | 5K | 39 | – |
| RAYMOND JAMES FINL INC | COM | 9K | 75 | – |
| REALTY INCOME CORP | COM | 4K | 84 | – |
| REGENERON PHARMACEUTICALS | COM | 8K | 8 | – |
| REINSURANCE GRP OF AMERICA I | COM NEW | 9K | 44 | – |
| REPLIGEN CORP | NOTE 0.375% 7/1 | 10M | – | – |
| REVOLUTION MEDICINES INC | COM | 9K | 234 | – |
| ROBINHOOD MKTS INC | COM CL A | 18K | 797 | – |
| ROSS STORES INC | COM | 7K | 46 | – |
| ROYAL CARIBBEAN GROUP | COM | 18K | 116 | – |
| SCHLUMBERGER LTD | COM STK | 5K | 100 | – |
| SELECT SECTOR SPDR TR | ENERGY | 9K | 101 | – |
| SIMON PPTY GROUP INC NEW | COM | 450K | 3K | – |
| SIRIUS XM HOLDINGS INC | COM | 9K | 3K | – |
| SIX FLAGS ENTMT CORP NEW | COM | 6K | 171 | – |
| SOLAREDGE TECHNOLOGIES INC | COM | 19K | 750 | – |
| SPDR S&P 500 ETF TR | TR UNIT | 57K | 328 | – |
| SPDR SER TR | BBG CONV SEC ETF | 20M | 276K | – |
| SPDR SER TR | NUVEEN BLOOMBERG | 3M | 112K | – |
| SPDR SER TR | NUVEEN BLMBRG MU | 5M | 104K | – |
| SPDR SER TR | NUVEEN BLMBRG SH | 141K | 3K | – |
| SPDR SER TR | S&P RETAIL ETF | 36K | 476 | – |
| SPOTIFY TECHNOLOGY S A | SHS | 18K | 58 | – |
| SPROUTS FMRS MKT INC | COM | 30K | 357 | – |
| SPX TECHNOLOGIES INC | COM | 29K | 203 | – |
| TAIWAN SEMICONDUCTOR MFG LTD | SPONSORED ADS | 19K | 109 | – |
| TARGA RES CORP | COM | 29K | 225 | – |
| TE CONNECTIVITY LTD | SHS | 5K | 30 | – |
| TECHNIPFMC PLC | COM | 14K | 551 | – |
| TENET HEALTHCARE CORP | COM NEW | 27K | 202 | – |
| TERADYNE INC | COM | 9K | 64 | – |
| TJX COS INC NEW | COM | 7K | 63 | – |
| TOTALENERGIES SE | SPONSORED ADS | 67 | 1 | – |
| TOYOTA MOTOR CORP | ADS | 18K | 87 | – |
| TPG INC | COM CL A | 36K | 880 | – |
| TYSON FOODS INC | CL A | 19K | 328 | – |
| UBER TECHNOLOGIES INC | COM | 19K | 259 | – |
| UDR INC | COM | 5K | 114 | – |
| UNITEDHEALTH GROUP INC | COM | 5K | 9 | – |
| UNITY SOFTWARE INC | COM | 18K | 1K | – |
| UNIVERSAL HLTH SVCS INC | CL B | 9K | 48 | – |
| VAIL RESORTS INC | COM | 18K | 100 | – |
| VALKYRIE BITCOIN FD | COM | 4M | 253K | – |
| VANECK BITCOIN TR | SH BEN INT | 2M | 30K | – |
| VANECK ETF TRUST | SHRT HGH YLD MUN | 280K | 12K | – |
| VANECK ETF TRUST | HIGH YLD MUNIETF | 5M | 95K | – |
| VANGUARD MUN BD FDS | TAX EXEMPT BD | 6M | 126K | – |
| VERTIV HOLDINGS CO | COM CL A | 17K | 202 | – |
| WALGREENS BOOTS ALLIANCE INC | COM | 18K | 1K | – |
| WELLTOWER INC | COM | 18K | 174 | – |
| WEX INC | COM | 26K | 149 | – |
| WILLIAMS COS INC | COM | 28K | 660 | – |
| WISDOMTREE BITCOIN FD | SHS BEN INT | 715K | 11K | – |