# WHITEBOX ADVISORS LLC

WHITEBOX ADVISORS LLC of MINNEAPOLIS, MN is an SEC-registered investment adviser. This firm reports disciplinary history on Form ADV.

## Registration

- CRD: 121995
- Type: SEC-registered investment adviser
- SEC file number: 801-65882
- Location: 3033 EXCELSIOR BOULEVARD, SUITE 500, MINNEAPOLIS, MN, 55416
- Phone: 612-253-6001
- Latest filing: 2026-03-25
- Regulatory AUM: $15.7B
- Discretionary AUM: $15.7B
- Clients: 67
- Accounts: 16

## Business model

- Compensation: % of AUM, Performance
- Clients served: Investment cos

## Officers, owners & control persons (34)

_Showing 25 of 34 people._

| Name | Role | Location |
| --- | --- | --- |
| Paul Roos | PARTNER, HEAD OF STRUCTURED CREDIT | Minneapolis, MN |
| Robert Jacob Vogel | PARTNER, CHIEF INVESTMENT OFFICER; SOLE OWNER | — |
| Jacob Paul Mercer | PARTNER, HEAD OF SPECIAL SITUATIONS AND RESTRUCTURING | — |
| Muquarrab Bin Karim | CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER | — |
| Lisa Raggi Conrad | GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | — |
| Paul Manuel Roos | PARTNER, HEAD OF STRUCTURED CREDIT | — |
| Nickolas Arthur Stukas | PARTNER, HEAD OF CREDIT RELATIVE VALUE | — |
| Brian Gerald Lutz | PARTNER, HEAD OF CONVERTIBLE ARBITRAGE | — |
| Brian Joseph Lofton | CHIEF RISK OFFICER | — |
| REDLEAF ANDREW JAY | CHIEF EXECUTIVE OFFICER; CHIEF INVESTMENT OFFICER/CHIEF EXECUTIVE OFFICER; FOUNDING PARTNER (+1 more) | — |
| VONARX JULIE ANN | CHIEF COMPLIANCE OFFICER | — |
| VOGEL ROBERT JACOB | GLOBAL HEAD OF FIXED INCOME; GLOBAL HEAD OF FIXED INCOME STRATEGIES; HEAD OF CORPORATE CREDIT AND RELATIVE VALUE (+5 more) | — |
| WOOD JONATHAN DAVID | CHIEF FINANCIAL OFFICER; CHIEF OPERATING OFFICER; CHIEF OPERATING OFFICER / CHIEF FINANCIAL OFFICER (+2 more) | — |
| HARDY CHRISTOPHER RIDGELY | CHIEF COMPLIANCE OFFICER | — |
| SONSTEGARD JEANNINE LOUISE | CHIEF FINANCIAL OFFICER | — |
| STREFLING MARK MCLYNN | CHIEF COMPLIANCE OFFICER / CHIEF LEGAL OFFICER; CHIEF LEGAL OFFICER; CHIEF LEGAL OFFICER / CHIEF COMPLIANCE OFFICER (+5 more) | — |
| WIETECKI MICHAEL JOHN | CHIEF COMPLIANCE OFFICER | — |
| SEMM CLINTON BRADLEY | CHIEF ADMINISTRATIVE OFFICER; CHIEF FINANCIAL OFFICER | — |
| COOK GRAHAM DICKSON | CHIEF MARKETING OFFICER | — |
| CONRAD LISA RAGGI | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL; GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | — |
| CARLSON JEANNINE LOUISE | CHIEF FINANCIAL OFFICER | — |
| WEDDLE ELISSA RAE | ASSOCIATE GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER; CHIEF LEGAL OFFICER | — |
| MCCORMICK MICHAEL PETER | CHIEF FINANCIAL OFFICER; CHIEF OPERATING OFFICER | — |
| MORTON BLAISE GRAYSON | CHIEF RISK OFFICER | — |
| LOFTON BRIAN JOSEPH | CHIEF RISK OFFICER | — |


## Disclosures (11)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2022-01-17 | regulatory | THE FIRM FAILED TO FILE A NOTICE OF RELEVANT SHORT POSITION IN VIOLATION OF THE NOTICE REQUIREMENT UNDER SECTION 3-14 OF THE NORWEGIAN SECURITIES TRADING ACT. | Final | $10K |
| 2014-04-29 | regulatory | IN APRIL 2014, WHITEBOX RECEIVED A CONFIDENTIAL INFORMATION INQUIRY FROM THE SEC IN CONNECTION WITH THE PURCHASE OF SHARES IN A SECONDARY PUBLIC OFFERING WHICH OCCURRED IN 2012. WHITEBOX FULLY COOPERATED WITH THE SEC AND VOLUNTARILY REVIEWED HISTORICAL TRADING ACTIVITY TO IDENTIFY ANY OTHER POTENTIA… | Final | $1.2M |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/121995/brochure
- Similar advisers: https://search.stillhousedata.com/firm/121995/similar
- Related entities: https://search.stillhousedata.com/firm/121995/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/121995

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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.