GALENA ASSET MANAGEMENT SA
Adviser information for GALENA ASSET MANAGEMENT SA last updated from Form ADV on November 14th, 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 | SEPTEMBER |
| Legal Location | Switzerland |
Employees
| Total Number of Employees | 0 |
|---|---|
| Investment Advisory/Research | 0 |
| 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 | No |
|---|
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 | 0 | $0 |
| 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 |
Services
| Advisory Services | – |
|---|---|
| Compensation | – |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 802-80120 |
|---|---|
| SEC ERA File Number | 802-80120 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 171782 |
| Legal Entity Identifier | 549300JR1F5URFRFOL55 |
Principal Office
RUE DE JARGONNANT 1GENEVA
Switzerland
Monday - Friday, 09AM TO 06PM
Tel: 00 41 22 594 6900, Fax: 00 41 22 594 6901
Chief Compliance Officer
GERARD LYNCH
RUE DE JARGONNANT 1
GENEVA
Switzerland
Tel:
00 41 22 592 3776
G***********@****************M
(Full email address available in API data)
Industry Affiliates
| GALENA ASSET MANAGEMENT (ASIA) PTE. LTD | Other investment adviser, including financial planners |
| GALENA PRIVATE EQUITY RESOURCES 3 LIMITED | Sponsor, GP, manager of pooled investment vehicles |
| GALENA PRIVATE EQUITY RESOURCES II LIMITED | Sponsor, GP, manager of pooled investment vehicles |
| GALENA PRIVATE EQUITY RESOURCES LIMITED | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| GALENA MULTISTRATEGY FUND LIMITED | Hedge Fund | $84.0M | $0.1M | 57 |
| GALENA MULTISTRATEGY MASTER FUND LIMITED | Hedge Fund | $84.0M | $0.1M | 57 |
| GALENA PRIVATE EQUITY RESOURCES CO-INVESTMENT 2 LP | Private Equity Fund | $25.0M | $0.1M | 2 |
| GALENA PRIVATE EQUITY RESOURCES CO-INVESTMENT LP | Private Equity Fund | $0.0M | $0.1M | 3 |
| GALENA PRIVATE EQUITY RESOURCES FUND LP | Private Equity Fund | $121.0M | $10.0M | 8 |
| GALENA PRIVATE EQUITY RESOURCES INVESTMENT 2 LP | Private Equity Fund | $169.0M | $10.0M | 8 |
| GALENA PRIVATE EQUITY RESOURCES INVESTMENT 3 LP | Private Equity Fund | $214.0M | $0.1M | 32 |
| GALENA PRIVATE EQUITY RESOURCES INVESTMENT 4 LP | Private Equity Fund | $38.0M | $0.1M | 32 |
| GALENA RESOURCE EQUITIES LIMITED | Hedge Fund | $14.0M | $0.1M | 2 |
| GALENA SPECIAL SITUATIONS LIMITED | Hedge Fund | $3.0M | $0.1M | 20 |
| GALENA WOLVERINE FUND LP | Private Equity Fund | $35.0M | $0.1M | 5 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CORTES HOLDING SARL | Foreign Entity | TRAFIGURA HOLDING SARL | SHAREHOLDER OF TRAFIGURA HOLDING SARL | 09/2015 | > 75% |
| TRAFIGURA GROUP PTE. LTD. | Foreign Entity | TRAFIGURA HOLDINGS PTE LTD | SHAREHOLDER OF TRAFIGURA HOLDINGS PTE. LTD. | 11/2015 | > 75% |
| TRAFIGURA BEHEER B.V. | Foreign Entity | TRAFIGURA GROUP PTE. LTD. | SHAREHOLDER OF TRAFIGURA GROUP PTE. LTD | 10/2010 | > 75% |
| STRATHCLYDE, THOMAS GALLOWAY, DUNLOP DU ROY | Individual | – | DIRECTOR | 11/2013 | < 5% |
| ASHLEY, ROBERT | Individual | – | DIRECTOR | 02/2013 | < 5% |
| GALENA ASSET MANAGEMENT BV | Foreign Entity | – | GALENA ASSET MANAGEMENT BV | 02/2013 | > 75% |
| LYNCH, GERARD | Individual | – | CHIEF COMPLIANCE OFFICER | 02/2013 | < 5% |
| WURGLER, RAOUL, OLIVER | Individual | – | DIRECTOR | 12/2014 | < 5% |
| TRAFIGURA HOLDING SARL | Foreign Entity | GALENA ASSET MANAGEMENT BV | SHAREHOLDER OF GALENA ASSET MANAGEMENT BV | 10/2015 | > 75% |
| Tomei, Maximilian, Gebhard | Individual | – | COO/CEO | 05/2015 | < 5% |
| TRAFIGURA HOLDINGS PTE LTD | Foreign Entity | CORTES INVESTMENTS S.A R.L. | SHAREHOLDER OF CORTES INVESTMENTS SARL | 11/2015 | > 75% |
| TRAFIGURA CONTROL HOLDINGS PTE. LTD. | Foreign Entity | TRAFIGURA BEHEER B.V. | SHAREHOLDER OF TRAFIGURA BEHEER BV | 09/2017 | > 75% |
| CORTES INVESTMENTS S.A R.L. | Foreign Entity | CORTES HOLDING SARL | SHAREHOLDER OF CORTES HOLDING SARL | 12/2018 | > 75% |
| FARRINGFORD FOUNDATION | Foreign Entity | TRAFIGURA CONTROL HOLDINGS PTE. LTD. | SHAREHOLDER OF TRAFIGURA CONTROL HOLDINGS PTE. LTD. | 12/2019 | > 75% |