TETRAGON FINANCIAL MANAGEMENT LP
Adviser information for TETRAGON FINANCIAL MANAGEMENT LP 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 | Delaware, United States |
Employees
| Total Number of Employees | 10 |
|---|---|
| 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 | 1 | $3.1B |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $3.1B |
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 | $3.1B |
| 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 |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-74151 |
|---|---|
| SEC ERA File Number | 801-74151 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 156041 |
| Legal Entity Identifier | 5493001UVBI8BN8IXM89 |
Principal Office
399 PARK AVENUE22ND 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
Chief Compliance Officer
STACY SCHEEHLE
399 PARK AVENUE, 22 FL
NEW YORK
NY
United States
Tel:
2123597357
Fax:
2123597301
S********@**************M
(Full email address available in API data)
Regulatory Contact
SEAN COTE
GENERAL COUNSEL
4 SLOANE TERRACE
LONDON
United Kingdom
Tel:
4402079018330
Fax:
4402079018301
S****@**************M
(Full email address available in API data)
Industry Affiliates
| TFG ASSET MANAGEMENT L.P. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| TETRAGON FINANCIAL GROUP LIMITED | Hedge Fund | $3,105.8M | $0.0M | 152 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| TETRAGON FINANCIAL MANAGEMENT GP LLC | Domestic Entity | – | GENERAL PARTNER | 07/2005 | < 5% |
| POLYGON CREDIT MANAGEMENT HOLDINGS LP | Domestic Entity | – | LIMITED PARTNER | 12/2007 | 50-75% |
| GRIFFITH, READE, EUGENE | Individual | – | PRINCIPAL | 07/2005 | < 5% |
| DEAR, PATRICK, GILES GAUNTLET | Individual | – | PRINCIPAL | 07/2005 | < 5% |
| WADSWORTH, GREGORY, NMN | Individual | – | DIRECTOR OF BUSINESS DEVELOPMENT | 06/2009 | < 5% |
| POLYGON CREDIT HOLDINGS LTD. | Foreign Entity | TETRAGON FINANCIAL MANAGEMENT GP LLC | MEMBER | 09/2005 | > 75% |
| POLYGON CREDIT HOLDINGS LTD. | Foreign Entity | POLYGON CREDIT MANAGEMENT HOLDINGS LP | LIMITED PARTNER | 12/2007 | > 75% |
| TETRAGON FINANCIAL MANAGEMENT GP LLC | Domestic Entity | POLYGON CREDIT MANAGEMENT HOLDINGS LP | GENERAL PARTNER | 12/2007 | |
| COTE, SEAN, ANDREW | Individual | – | GENERAL COUNSEL | 07/2005 | < 5% |
| REG HOLDCO II LTD. | Foreign Entity | POLYGON CREDIT HOLDINGS LTD. | SHAREHOLDER | 03/2008 | 25-50% |
| AEJ HOLDCO LTD. | Foreign Entity | POLYGON CREDIT HOLDINGS LTD. | SHAREHOLDER | 06/2005 | 25-50% |
| JACKSON, ALEXANDER, EDWARD | Individual | AEJ HOLDCO LTD. | SHAREHOLDER | 11/2002 | > 75% |
| GRIFFITH, READE, EUGENE | Individual | REG HOLDCO II LTD. | OWNER | 07/2013 | > 75% |
| SCHEEHLE, STACY, FELICE | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2014 | < 5% |
| PRINCE, STEPHEN, LIONEL | Individual | – | MEMBER OF THE INVESTMENT COMMITTEE AND RISK COMMITTEE | 10/2015 | < 5% |
| GANNON, PAUL, RONALD | Individual | – | CHIEF FINANCIAL OFFICER | 01/2017 | < 5% |
| HERLYN, JEFFREY, THEODORE | Individual | – | PRINCIPAL | 10/2017 | < 5% |
| WISHNOW, DAVID, CHARLES | Individual | – | LIMITED PARTNER / PRINCIPAL | 10/2017 | 5-10% |
| ROSENBERG, MICHAEL, NMN | Individual | – | LIMITED PARTNER / PRINCIPAL | 10/2017 | 5-10% |