Hedge Fund Database

TFG ASSET MANAGEMENT L.P.

Adviser information for TFG ASSET MANAGEMENT L.P. last updated from Form ADV on March 28th, 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 Cayman Islands

Employees

Total Number of Employees 129
Investment Advisory/Research 54
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 65 $19.7B
Non-Discretionary 6 $7
Total 71 $19.7B

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 63 $19.3B
Pension and profit sharing plans 0 $0
Charitable organizations <5 $381.0M
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 6 $7
Type Number
No. of Non-RAUM Clients 6
No. of Non-U.S. Clients 79

Services

Advisory Services Portfolio management for pooled investment vehiclesNON-DISCRETIONARY INVESTMENT ADVICE
Compensation % of AUMPerformance-based feesNON-DISCRETIONARY ADVISORY FEES
Other Business Activities Commodity pool operator or commodity trading advisor

Identifiers

SEC RIA File Number 801-74150
SEC ERA File Number 801-74150
SEC CIK Numbers 1515070
SEC CRD Numbers 156040
Legal Entity Identifier None

Principal Office

399 PARK AVENUE
22ND FLOOR
NEW YORK
NY
United States
Monday - Friday, 9:00 A.M. TO 5:00 P.M.
Tel: 212-359-7300, Fax: 212-359-7301

Websites

www.linkedin.com/company/tetragon-financial-group-limited www.linkedin.com/company/lcm-asset-management-llc www.tetragoninv.com/ www.linkedin.com/company/polygon www.linkedin.com/company/hawke's-point www.linkedin.com/company/banyan-square-partners www.linkedin.com/company/contingency-capital-llc www.linkedin.com/company/acasta-partners www.linkedin.com/company/westbourne-river-partners www.linkedin.com/company/tetragon-credit-partners www.linkedin.com/company/tfgam-tetragon

Chief Compliance Officer

STACY SCHEEHLE
399 PARK AVENUE, 22ND FL
NEW YORK
NY
United States
Tel: 212-359-7357
Fax: 212-359-7301
(Full email address available in API data)

Regulatory Contact

SEAN COTE
GENERAL COUNSEL
4 SLOANE TERRACE
LONDON
United Kingdom
Tel: 4402079018330
Fax: 4402079018301
(Full email address available in API data)

Industry Affiliates

ACASTA PARTNERS GP LIMITED Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
BANYAN SQUARE GP LIMITED Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
CONTINGENCY CAPITAL FUND I GP LLC Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
EQUITIX Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
EQUITIX EUROPEAN INFRASTRUCTURE I GP S.A.R.L. Sponsor, GP, manager of pooled investment vehicles
EQUITIX GP 2 LIMITED Sponsor, GP, manager of pooled investment vehicles
EQUITIX GP 3 LIMITED Sponsor, GP, manager of pooled investment vehicles
EQUITIX GP 4 LIMITED Sponsor, GP, manager of pooled investment vehicles
EQUITIX GP 6 LIMITED Sponsor, GP, manager of pooled investment vehicles
EQUITIX INVESTMENTS NORTH AMERICA L.P. Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
EQUITIX MA GP 17 LIMITED Sponsor, GP, manager of pooled investment vehicles
EQUITIX MA GP 2 LIMITED Sponsor, GP, manager of pooled investment vehicles
EQUITIX MA GP 20 LIMITED Sponsor, GP, manager of pooled investment vehicles
EQUITIX MA GP 8 LIMITED Sponsor, GP, manager of pooled investment vehicles
EQUITIX MA GP THOR LIMITED Sponsor, GP, manager of pooled investment vehicles
HAWKE'S POINT GP LIMITED Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
POLYGON PNG LIMITED Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
POLYGON RECOVERY FUND GP Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
TETRAGON FINANCIAL MANAGEMENT LP Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
WESTBOURNE RIVER GP LIMITED Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
ACASTA ENERGY EVOLUTION MASTER FUND Hedge Fund $15.8M $1.0M 17
ACASTA GLOBAL MASTER FUND Hedge Fund $1,748.7M $1.0M 231
BANYAN SQUARE CAPITAL PARTNERS L.P. Private Equity Fund $158.4M $0.0M 1
CONTINGENCY CAPITAL FUND A LP Private Equity Fund $216.4M $0.0M 1
CONTINGENCY CAPITAL FUND I FINANCE MASTER LP Private Equity Fund $265.0M $0.0M 38
CONTINGENCY CAPITAL FUND I INVESTMENT MASTER LP Private Equity Fund $74.2M $0.0M 38
HAWKE'S POINT (RRL) L.P. Private Equity Fund $5.3M $0.0M 17
HAWKE'S POINT HOLDINGS L.P. Private Equity Fund $147.2M $0.0M 1
LCM 26 LTD. Securitized Asset Fund $480.8M $0.3M 0
LCM 27 LTD. Securitized Asset Fund $411.3M $0.3M 0
LCM 28 LTD Securitized Asset Fund $393.2M $0.3M 0
LCM 29 LTD. Securitized Asset Fund $394.7M $0.3M 0
LCM 30 LTD. Securitized Asset Fund $397.0M $0.3M 0
LCM 31 LTD. Securitized Asset Fund $398.3M $0.3M 0
LCM 32 LTD. Securitized Asset Fund $497.0M $0.1M 0
LCM 33 LTD. Securitized Asset Fund $497.0M $0.1M 0
LCM 34 LTD. Securitized Asset Fund $498.7M $0.1M 0
LCM 35 LTD. Securitized Asset Fund $495.6M $0.1M 0
LCM 36 LTD. Securitized Asset Fund $397.7M $0.1M 0
LCM 37 LTD. Securitized Asset Fund $398.2M $0.1M 0
LCM 38 LTD. Securitized Asset Fund $350.3M $0.1M 0
LCM 39 LTD. Securitized Asset Fund $451.9M $0.1M 0
LCM 40 LTD. Securitized Asset Fund $401.2M $0.1M 0
LCM LOAN INCOME FUND I LTD. Securitized Asset Fund $214.2M $0.1M 0
LCM XIII LIMITED PARTNERSHIP Securitized Asset Fund $207.0M $0.3M 0
LCM XIV LIMITED PARTNERSHIP Securitized Asset Fund $356.2M $0.3M 0
LCM XIX LIMITED PARTNERSHIP Securitized Asset Fund $40.3M $0.3M 0
LCM XV LIMITED PARTNERSHIP Securitized Asset Fund $412.5M $0.3M 0
LCM XVI LIMITED PARTNERSHIP Securitized Asset Fund $681.2M $0.3M 0
LCM XVII LIMITED PARTNERSHIP Securitized Asset Fund $484.9M $0.3M 0
LCM XVIII LIMITED PARTNERSHIP Securitized Asset Fund $502.2M $0.3M 0
LCM XX LIMITED PARTNERSHIP Securitized Asset Fund $39.5M $0.3M 0
LCM XXI LIMITED PARTNERSHIP Securitized Asset Fund $27.9M $0.3M 0
LCM XXII LTD. Securitized Asset Fund $253.8M $0.1M 0
LCM XXIII LTD. Securitized Asset Fund $257.3M $0.3M 0
LCM XXIV LTD. Securitized Asset Fund $434.2M $0.1M 0
LCM XXV LTD. Securitized Asset Fund $321.2M $0.1M 0
POLYGON RECOVERY FUND L.P. Private Equity Fund $92.7M $0.1M 141
TCI-FLATIRON CLO 2016-1 LTD. Securitized Asset Fund $336.3M $0.3M 0
TCI-FLATIRON CLO 2017-1 LTD. Securitized Asset Fund $392.5M $0.3M 0
TCI-FLATIRON CLO 2018-1 LTD. Securitized Asset Fund $500.0M $0.3M 0
TCI-SYMPHONY CLO 2016-1 LTD. Securitized Asset Fund $490.9M $0.3M 0
TCI-SYMPHONY CLO 2017-1 LTD. Securitized Asset Fund $580.6M $0.3M 0
TETRAGON CREDIT INCOME II L.P. Private Equity Fund $148.3M $0.1M 37
TETRAGON CREDIT INCOME III L.P. Private Equity Fund $324.3M $0.1M 42
TETRAGON CREDIT INCOME IV L.P. Private Equity Fund $150.2M $0.1M 21
TFG ASSET MANAGEMENT GLOBAL EQUITIES FUND Hedge Fund $183.4M $0.1M 1
WESTBOURNE RIVER EVENT MASTER FUND Hedge Fund $560.7M $1.0M 24

Control Persons

Name Type Entity Title Since Ownership
TFG ASSET MANAGEMENT GP LTD. Foreign Entity – GENERAL PARTNER 06/2009 < 5%
GRIFFITH, READE, EUGENE Individual – PRINCIPAL 06/2009 < 5%
WADSWORTH, GREGORY, NMN Individual – DIRECTOR OF BUSINESS DEVELOPMENT 06/2009 < 5%
COTE, SEAN, ANDREW Individual – GENERAL COUNSEL 06/2009 < 5%
TETRAGON FINANCIAL GROUP LIMITED Foreign Entity TFG ASSET MANAGEMENT GP LTD. SHAREHOLDER 10/2012 > 75%
TFG ASSET MANAGEMENT TOPCO LTD. Foreign Entity – LIMITED PARTNER 10/2012 > 75%
TETRAGON FINANCIAL GROUP LIMITED Foreign Entity TFG ASSET MANAGEMENT TOPCO LTD. SHAREHOLDER 10/2012 > 75%
SCHEEHLE, STACY, FELICE Individual – CHIEF COMPLIANCE OFFICER 01/2014 < 5%
PRINCE, STEPHEN, LIONEL Individual – CEO OF TFG ASSET MANAGEMENT 10/2015 < 5%
GANNON, PAUL, RONALD Individual – CHIEF FINANCIAL OFFICER 01/2017 < 5%
TETRAGON FINANCIAL GROUP (DELAWARE) LLC Domestic Entity – LIMITED PARTNER 06/2020 10-25%
TETRAGON FINANCIAL GROUP (DELAWARE) HOLDINGS LLC Domestic Entity TETRAGON FINANCIAL GROUP (DELAWARE) LLC SOLE MEMBER 04/2020 > 75%
TETRAGON DEBTCO BLOCKER (CAYMAN) LLC Foreign Entity TETRAGON FINANCIAL GROUP (DELAWARE) HOLDINGS LLC SOLE MEMBER 05/2023 > 75%
TETRAGON FINANCIAL GROUP LIMITED Foreign Entity TETRAGON DEBTCO BLOCKER (CAYMAN) LLC SOLE MEMBER 05/2023 > 75%

No. Employees, Historic

200100020202021202220232024202598 on 2/26/2020100 on 3/30/2020101 on 5/28/2020101 on 12/13/2020112 on 3/31/2021112 on 2/23/2022122 on 3/31/2022122 on 6/13/2022122 on 10/21/2022122 on 2/22/2023132 on 3/31/2023132 on 11/1/2023132 on 1/4/2024129 on 3/28/2024

RAUM, Historic

30B15B020202021202220232024202514377957107 on 2/26/202016357868094 on 3/30/202016357868094 on 5/28/202016357868094 on 12/13/202018405949444 on 3/31/202118405949444 on 2/23/202221568884282 on 3/31/202221568884282 on 6/13/202221568884282 on 10/21/202221568884282 on 2/22/202321762997400 on 3/31/202321762997400 on 11/1/202321762997400 on 1/4/202419691442790 on 3/28/2024

No. Clients, Historic

7035020202021202220232024202542 on 2/26/202049 on 3/30/202049 on 5/28/202049 on 12/13/202049 on 3/31/202149 on 2/23/202258 on 3/31/202258 on 6/13/202258 on 10/21/202258 on 2/22/202369 on 3/31/202369 on 11/1/202369 on 1/4/202469 on 3/28/2024

Holdings

From latest 13F, filed August 14th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ALUMIS INC COM 324K 24K 1,2,3
ANNEXON INC COM 6M 1M –
AUTOLUS THERAPEUTICS PLC SPON ADS 28M 8M –
BALLYS CORPORATION COM 11M 881K 1,2,3
BALLYS CORPORATION COM 7M 619K 1,2
BLUERIVER ACQUISITION CORP *W EXP 01/04/202 251 17K 1,2,3
CUTERA INC NOTE 2.250% 6/0 808K – 1,2,3
CUTERA INC NOTE 4.000% 6/0 970K – 1,2,3
CYTOKINETICS INC NOTE 3.500% 7/0 20M – 1,2,3
DIANA SHIPPING INC *W EXP 12/14/202 171K 300K 1,2,3
FIRST MAJESTIC SILVER CORP NOTE 0.375% 1/1 32M – 1,2,3
HERTZ GLOBAL HLDGS INC *W EXP 06/30/205 114K 46K 1,2,3
ISHARES TR IBOXX HI YD ETF 8M 109K 1,2,3
ISHARES TR IBOXX HI YD ETF 76M 979K 1,2,3
KOLIBRI GLOBAL ENERGY INC COM NEW 16M 4M 1,2,3
KOLIBRI GLOBAL ENERGY INC COM NEW 10M 3M 1,2
LITHIUM AMERICAS ARGENTINA C NOTE 1.750% 1/1 22M – 1,2,3
LYFT INC CL A COM 14M 1M –
MARCUS CORP DEL NOTE 5.000% 9/1 10M – 1,2,3
MEDICAL PPTYS TRUST INC COM 3M 641K 1,2,3
NOBLE CORP PLC *W EXP 02/04/202 1M 46K 1,2,3
OATLY GROUP AB NOTE 9.250% 9/1 11M – 1,2,3
OATLY GROUP AB SPONSORED ADS 351K 374K 1,2,3
SNOWFLAKE INC CL A 1M 10K –
SONDER HOLDINGS INC *W EXP 01/18/202 212 19K 1,2,3
SPRINKLR INC CL A 21M 2M 1,2,3
SSR MINING IN NOTE 2.500% 4/0 12M – 1,2,3
TARSUS PHARMACEUTICALS INC COM 14M 500K –
TECK RESOURCES LTD CL B 1M 25K 1,2,3
UIPATH INC CL A 76M 6M –