# ADVENT CAPITAL MANAGEMENT, LLC

ADVENT CAPITAL MANAGEMENT, LLC of NEW YORK, NY is an SEC-registered investment adviser. This firm reports disciplinary history on Form ADV.

## Registration

- CRD: 113013
- Type: SEC-registered investment adviser
- SEC file number: 801-60263
- Location: 888 SEVENTH AVENUE, NEW YORK, NY, 10019
- Phone: 212-482-1600
- Latest filing: 2026-03-30
- Regulatory AUM: $8.8B
- Discretionary AUM: $8.8B
- Clients: 58
- Accounts: 430

## Business model

- Compensation: % of AUM, Performance
- Clients served: High net worth, Pooled vehicles, Investment cos

## Officers, owners & control persons (21)

| Name | Role | Location |
| --- | --- | --- |
| Tracy Vincent Maitland | MANAGING MEMBER; MANAGING MEMBER/CHIEF EXECUTIVE OFFICER | — |
| John Oscar Utendahl | MEMBER | — |
| Robert John White | CHIEF FINANCIAL OFFICER & CHIEF OPERATING OFFICER | — |
| Stephen Comer Ellwood | GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | — |
| REID BUFORD SCOTT | CHIEF OPERATING OFFICER | — |
| HOOD OSBERT MARTIN | CHIEF OPERATING OFFICER | — |
| UTENDAHL JOHN OSCAR | CHIEF EXECUTIVE OFFICER; MEMBER; PARTNER | — |
| ASTRACHAN ANDREW JAY | MEMBER | — |
| SCHWARTZ ROBERT SCOTT | CHIEF COMPLIANCE OFFICER | — |
| MAITLAND TRACY VINCENT | MANAGING MEMBER; MANAGING MEMBER/CHIEF EXECUTIVE OFFICER | — |
| DRAPKIN DONALD | MEMBER | — |
| CHAZEN STEVE | MEMBER | — |
| AL-ALADI ABDUL | SHAREHOLDER | — |
| BAXTER RODD M | CHIEF LEGAL/CHIEF COMPLIANCE OFFICER; CHIEF LEGAL/COMPLIANCE OFFICER; GENERAL COUNSEL | — |
| JOHNSON EDWARD ELEMUEL | CHIEF OPERATING OFFICER | — |
| WHITE ROBERT JOHN | CHIEF COMPLIANCE OFFICER; CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER & CHIEF ADMINISTRATIVE OFFICER (+1 more) | — |
| BERGER BRUCE STEWART | CONTROLLER | — |
| ELLWOOD STEPHEN COMER | GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | — |
| DELK EDWARD CALDWELL | GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | — |
| HABER KRIS TATE | CHIEF OPERATING OFFICER | — |
| OLIN KATHLEEN MARY | GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | — |


## Disclosures (2)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2014-09-16 | regulatory | THIS REGULATORY ACTION IS RELATED TO TWO ALLEGED VIOLATIONS OF RULE 105 OF REGULATION M UNDER THE SECURITIES EXCHANGE ACT OF 1934. RULE 105 GENERALLY PROHIBITS BUYING AN EQUITY SECURITY IN AN UNDERWRITTEN SECONDARY PUBLIC OFFERING IF THE BUYER SOLD SHORT THE SAME SECURITY DURING THE RESTRICTED PERIO… | Final | $65K |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/113013/brochure
- Similar advisers: https://search.stillhousedata.com/firm/113013/similar
- Related entities: https://search.stillhousedata.com/firm/113013/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/113013

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.