ULYSSES MANAGEMENT LLC
Adviser information for ULYSSES MANAGEMENT LLC 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 24 |
|---|---|
| Investment Advisory/Research | 9 |
| Registered Broker-Dealer Representatives | 0 |
| 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 | 5 | $1.6B |
| Non-Discretionary | 0 | $0 |
| Total | 5 | $1.6B |
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 | 4 | $1.6B |
| 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 | <5 | $3.7M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 20 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPORTFOLIO MANAGEMENT FOR FAMILY PRIVATE FOUNDATION |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Principal Office
ONE ROCKEFELLER PLAZA20TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 9-5
Tel: 212-455-6200, Fax: 212-455-6286
Websites
Chief Compliance Officer
RICHARD ELLENBOGEN
CCO
ONE ROCKEFELLER PLAZA
NEW YORK
NY
United States
Tel:
212 455 6200
Fax:
212 455 6286
R*****************@********M
(Full email address available in API data)
Regulatory Contact
VINCENT OGNIBENE
CFO
ONE ROCKEFELLER PLAZA
NEW YORK
NY
United States
Tel:
212-455-6200
Fax:
212 455 6286
V***************@********M
(Full email address available in API data)
Industry Affiliates
| JHN TRUST COMPANY | Trust company |
| JOSHUA NASH LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| ULYSSES OFFSHORE FUND, LTD. | Hedge Fund | $0.0M | $0.0M | 4 |
| ULYSSES PARTNERS DESIGNATED INVESTMENTS, L.P. | Private Equity Fund | $289.4M | $0.0M | 65 |
| ULYSSES PARTNERS, L.P. | Hedge Fund | $1,239.3M | $0.0M | 34 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| NASH, JOSHUA | Individual | – | PRESIDENT | 06/1997 | < 5% |
| ELLENBOGEN, RICHARD, I | Individual | – | CCO | 07/2015 | < 5% |
| OGNIBENE, VINCENT | Individual | – | CFO | 01/2018 | < 5% |
| JOSHUA NASH LLC | Domestic Entity | – | MEMBER | 01/2018 | > 75% |
| NASH, JOSHUA | Individual | JOSHUA NASH LLC | MEMBER | 01/2018 | > 75% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 14th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| BANK OF N.T. BUTTERFIELD | SHS NEW | 4M | 100K | – |
| NU HOLDINGS LTD | ORD SHS CL A | 2M | 120K | – |
| SIMILARWEB LTD | SHS | 18M | 2M | – |
| TABOOLA.COM WRNT | *W EXP 99/99/999 | 14K | 90K | – |
| ASML HOLDING N V | N Y REGISTRY SHS | 2M | 2K | – |
| ANGI INC | COM CL A NEW | 5M | 3M | – |
| API GROUP CORP. | COM STK | 14M | 375K | – |
| ALPHABET INC | CAP STK CL A | 15M | 80K | – |
| AMAZON.COM | COM | 43M | 220K | – |
| AMAZON.COM | COM | 54M | 278K | – |
| APOLLO GLOBAL MGT | COM | 3M | 25K | – |
| APPLE INC | COM | 42M | 200K | – |
| ARAMARK | COM | 5M | 150K | – |
| ARAMARK | COM | 16M | 473K | – |
| ARCHER AVIATION INCWTS | *W EXP 09/16/202 | 42K | 112K | – |
| BALL CORP | COM | 30M | 500K | – |
| BROADCOM INC | COM | 401K | 3K | – |
| CAMECO CORP | COM | 492K | 10K | – |
| CANTALOUPE INC | COM | 11M | 2M | – |
| COGENT COMMUNICATIONS | COM NEW | 19M | 340K | – |
| CONOCO PHILIPS | COM | 2M | 20K | – |
| DELL TECHNOLOGIES INC | CL C | 690K | 5K | – |
| DIME COMMUNITY BANCSHARES | COM | 5M | 254K | – |
| EMBRAER SA | SPONSORED ADS | 1M | 40K | – |
| EXXON MOBIL CORP | COM | 3M | 25K | – |
| META PLATFORMS INC | CL A | 1M | 3K | – |
| FIRST CITIZENS BCSHS -CL A | CL A | 2M | 1K | – |
| FREPORT MCMORAN CL A | CL B | 559K | 12K | – |
| GEV VERNOVA | COM | 429K | 3K | – |
| GOLDMAN SACHS GROUP | COM | 2M | 4K | – |
| IAC INC | COM NEW | 26M | 564K | – |
| INNOVID CORP CLASS A WRTNS | *W EXP 11/30/202 | 1K | 22K | – |
| INVESCO QQQ TR | UNIT SER 1 | 12M | 25K | – |
| JPMORGAN CHASE & CO | COM | 2M | 12K | – |
| MP MATERIALS | COM CL A | 955K | 75K | – |
| MATERION CORP | COM | 788K | 7K | – |
| MICROSOFT CORP | COM | 73M | 163K | – |
| MICROSOFT CORP | COM | 27M | 60K | – |
| NIKE INC. | CL B | 15M | 200K | – |
| OFFERPAD SOLUTIONS INC | COM CL A | 3M | 772K | – |
| PALO ALTO NETWORKS INC | COM | 2M | 7K | – |
| RANPAK HOLDINGS CORP | COM CL A | 4M | 692K | – |
| REGAL REX ORD | COM | 2M | 12K | – |
| SPDR S&P 500 ETF TR | TR UNIT | 136M | 250K | – |
| SPDR SER TR S&P REGL BKG ETF | S&P REGL BK | 4M | 80K | – |
| SPDR S&P BIOTECHCS | S&P BIOTECH | 2M | 18K | – |
| CHARLES SCHWAB CORP | COM | 737K | 10K | – |
| SHERWIN WILLIAMS | COM | 24M | 80K | – |
| TAKE-TWO INTERACTIVE SOFTWRE | COM | 9M | 55K | – |
| TECK RESOURCES | CL B | 3M | 60K | – |
| TRIMBLE | COM | 11M | 200K | – |
| TRIUMPH GROUP | COM | 2M | 100K | – |
| UBER | COM | 36M | 494K | – |
| VANECK ETF TRUST | SEMICONDUCTR ETF | 4M | 15K | – |
| VANECK ETF TRUST | SEMICONDUCTR ETF | 4M | 16K | – |
| WILLSCOT MOBILE MINI HOLDS CORP | COM CL A | 13M | 345K | – |