Paloma Partners Management Company (Greenwich)

Name: Paloma Partners Management Company
Address: 2 American Lane, Greenwich, CT, 06836 2571
Telephone: 203-862-8000

Paloma Partners Management Company is a large advisory firm based in Greenwich. It manages $9.47 billion of regulatory assets for 3 client accounts. It has been registered with the SEC as an adviser since 2011 and has operated in the jurisdiction of Connecticut.

Paloma Partners Management Company provides portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Paloma Partners Management Company: assets under management

The assets under management (AUM) of Paloma Partners Management Company is $9.47 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 334% since the beginning of its operation, and $6.15 billion of the total AUM is attributable to clients outside of the United States.

The firm manages $9.47 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $3.16 billion each.

Paloma Partners Management Company has custody of $4.45 billion in cash and securities for 3 clients in total but doesn’t act as a qualified custodian.

What kind of clients Paloma Partners Management Company serves?

The only and largest group of clients of Paloma Partners Management Company is pooled investment vehicles with 3 clients and $9.47 billion of assets under management. Among the 10 most similar advisory firms, Paloma Partners Management Company has the 3rd highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $9.47 billion for 3 clients. 67% of the firm’s clients are foreign persons or businesses.

Paloma Partners Management Company also advises several private funds. Namely, four hedge funds. The minimum investment commitment required of non-related persons ranges from $0 to $5,000,000.

Careers at Paloma Partners Management Company

The company employs 83 people that are either part- or full-time employees. 61 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Randall Ungbieu Tam	Managing director, chief financial officer	1 Jul 1989	Other	1038314
Michael Julian Berner	Managing director, general counsel	1 Feb 1992	Other	2673009
Gavin N/A Morrocu	Managing director, tax director	1 Feb 1997	Other	5985163
Gavin Morrocu	Managing director, tax director	1 Feb 1997	Other	5985163
Yuri Gabovich	Portfolio manager	1 Jan 2002	Other	4889855
Gregory Scott Hayt	Director, president, chief risk officer	1 Feb 2002	Other	5106070
Heather Elene Garson	Managing director, chief compliance officer	1 Mar 2005	Other	4811669
Hal Fred Lux	Managing director	1 May 2010	Other	6888870
Jan Robert Wolansky	Managing director, chief operating officer	1 Aug 2011	Other	5985166
Selwyn Donald Sussman	Director, chairman	1 Sep 2011	Other	1937999
Philip Alexander Anker	Managing director, head of investor relations	1 Nov 2011	Other	2996950
Douglas Wesley Ambrose	Managing director, general counsel	1 Jan 2013	Other	6178715
Paul Kukuruza	Managing director, chief information officer	1 Jan 2013	Other	6179598
Andreas Rasmus Bauer	Managing director, paloma partners management company	1 Jan 2013	Other	3212293
Matthew Rothman	Managing director, investment committee member	1 Jan 2014	Other	5320260
Michael Ezra Liebowitz	Managing director, paloma partners management company	1 Feb 2014	Other	6631309
Selwyn Donald Sussman	Chairman, paloma partners advisors lp	1 Nov 2014	Other	1937999
Paloma Partners Advisors Inc.	General partner, paloma partners advisors lp	1 Nov 2014	75% - 100%	66-0594509
Stuart J Hendel	Managing director, chief operating officer	1 Aug 2015	Other	2019031
John Michael Gridley	Managing director, director of trading	1 Jan 2016	Other	4601879
Anthony Thomas Ferrari	Managing director	1 Jan 2016	Other	6888771
Gabriele Linahan	Managing director	1 Jan 2016	Other	3219585
Barry Scott Leskin	Managing director	1 Jan 2016	Other	6888883
Diane Regina Erickson	Managing director	1 Dec 2016	Other	6888842
Theodore Hagan	Managing director, chief financial officer	1 May 2018	Other	5708594

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Paloma Partners Advisors Inc.	General partner	1 Oct 2014	Other	66-0594509

Based in Greenwich

The principal office where Paloma Partners Management Company performs its advisory services is located at 2 American Lane, Greenwich, CT 06836 2571, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 203-862-8000 or by fax 203-862-6902. The normal business hours are 9:00 am-5:00 pm on Monday - Friday. You can find more information about the New York firm at paloma.com.