POLAR CAPITAL (AMERICA) CORPORATION
Adviser information for POLAR CAPITAL (AMERICA) CORPORATION last updated from Form ADV on June 27th, 2023. 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 | MARCH |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 10 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 3 |
| 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 | $706.4M |
| Non-Discretionary | 0 | $0 |
| Total | 2 | $706.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | <5 | $0 |
| HNW Individuals | <5 | $0 |
| Banking or thrift institutions | <5 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 2 | $706.4M |
| Pension and profit sharing plans | <5 | $0 |
| Charitable organizations | <5 | $0 |
| State or municipal gov entities | <5 | $0 |
| Other investment advisers | <5 | $0 |
| Insurance companies | <5 | $0 |
| Sovereign wealth funds and foreign official institutions | <5 | $0 |
| Corporations or other businesses | <5 | $0 |
| Other | <5 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 2 |
| No. of Non-U.S. Clients | 100 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-71922 |
|---|---|
| SEC ERA File Number | 801-71922 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 155389 |
| Legal Entity Identifier | None |
Principal Office
17 OLD KINGS HIGHWAY SOUTHDARIEN
CT
United States
Monday - Friday, 9.00AM - 5.00PM
Tel: 203-604-1550, Fax: 203-604-1554
Chief Compliance Officer
BOURA KYM TOMLINSON CANN
CHIEF COMPLIANCE OFFICER
16 PALACE STREET
LONDON
United Kingdom
Tel:
011-44-20-72272700
Fax:
011-44-20 72272799
B****@*****************K
(Full email address available in API data)
Regulatory Contact
SAMIR AYUB
DIRECTOR
16 PALACE STREET
LONDON
United Kingdom
Tel:
011-44-20-72272700
Fax:
011-44-20 72272799
S*********@*****************K
(Full email address available in API data)
Industry Affiliates
| PHAEACIAN PARTNERS LLC | Other investment adviser, including financial planners |
| POLAR CAPITAL | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| POLAR CAPITAL (EUROPE) SAS | Other investment adviser, including financial planners |
| POLAR CAPITAL (SWITZERLAND) AG | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| AYUB, SAMIR | Individual | – | DIRECTOR | 01/2020 | < 5% |
| CANN, BOURA, KYM TOMLINSON | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2010 | < 5% |
| POLAR CAPITAL HOLDINGS PLC | Foreign Entity | POLAR CAPITAL PARTNERS LIMITED | OWNER | 10/2010 | > 75% |
| POLAR CAPITAL US HOLDINGS LIMITED | Foreign Entity | – | OWNER | 02/2020 | > 75% |
| TAYLOR, NEIL, PHILIP | Individual | – | DIRECTOR | 12/2019 | < 5% |
| POLAR CAPITAL US HOLDINGS LIMITED | Foreign Entity | POLAR CAPITAL HOLDINGS PLC | OWNER | 02/2020 | > 75% |
| FARREN, NICHOLAS, FRANCIS | Individual | – | DIRECTOR | 09/2022 | < 5% |