POLUS CAPITAL MANAGEMENT LIMITED of LONDON is an SEC-registered investment adviser (CRD 139138). Regulatory assets under management: $5.3B.
Compensation: % of AUM, Performance.
Clients served: Pooled vehicles, Investment cos, Other.
Showing 25 of 47 people.
| Name | Role | Location |
|---|---|---|
| Anthony Granville Mallin | DIRECTOR | London, X0 |
| Nicholas Ian Chalmers | CHIEF EXECUTIVE OFFICER AND DIRECTOR | — |
| Stefano Nmn Dova | DIRECTOR | — |
| Frank Nmn Goasguen | DIRECTOR | — |
| Andrew Lindsay Burke | CHIEF INVESTMENT OFFICER - LEVERAGED LOANS AND DIRECTOR | — |
| William Robert Cannon | CHIEF COMPLIANCE OFFICER | — |
| Alexandra Virginia Young | DIRECTOR | — |
| Shaun Rowan Wood | CHIEF LEGAL OFFICER | — |
| Samantha Leigh Bartlett | CHIEF FINANCIAL OFFICER AND DIRECTOR | — |
| Glen Colin Ronald Mifsud | PRESIDENT | — |
| Robert John Dafforn | CHIEF INVESTMENT OFFICER - OPPORTUNISTIC CREDIT | — |
| Melanie Jane Davison | CHIEF OPERATING OFFICER AND DIRECTOR; CHIEF OPERATIONS OFFICER AND DIRECTOR | — |
| Ryan Nmn Sinnott | DIRECTOR | — |
| Timothy James Albert Frost | CHAIRMAN | — |
| Dorota Joanna Holowiak | CHIEF COMPLIANCE OFFICER | — |
| PIERCE GARY ROBERT | CHIEF COMPLIANCE OFFICER AND DIRECTOR; COMPLIANCE OFFICER; DIRECTOR | — |
| STARKY JAMES TITHERADGE | CHIEF LEGAL OFFICER | — |
| CAMPBELL PAUL WILLIAM | CHIEF EXECUTIVE OFFICER AND DIRECTOR | — |
| FROST TIMOTHY JAMES ALBERT | CHAIRMAN; DIRECTOR | — |
| LITTLEWOOD DAVID ANTHONY | DIRECTOR | — |
| HENRIQUES DAVID QUIXANO | DIRECTOR | — |
| BENTLEY CHRISTOPHER ROBERT | CHIEF OPERATIONS OFFICER | — |
| GOASGUEN FRANK | DIRECTOR | — |
| HEADON ADRIAN DENIS | CHIEF FINANCIAL OFFICER | — |
| MALLIN ANTHONY | MEMBER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-05-03 | regulatory | SHORTCOMINGS IN TRANSPARENCY AND FAIRNESS IN CUSTOMER RELATIONS AND INCORRECT APPLICATION OF COMMISSIONS. THE SHORTCOMINGS HAVE BEEN REMEDIED. | Final | $3.1M |
| 2019-12-17 | regulatory | WEAKNESS IN THE AML CUSTOMER DUE DILIGENCE AND SUSPICIOUS ACTIVITY REPORTING PROCESSES. THE SHORTCOMINGS HAVE BEEN REMEDIED. | Final | $1.4M |
| 2017-02-17 | regulatory | ALLEGED BREACH OF RULES ON DISCLOSURE OBLIGATION TO THE MARKET IN RELATION TO A TRANSACTION REGARDING AN ITALIAN LISTED COMPANY ACTIVE IN THE TMT SECTOR | Final | $87K |
| 2015-12-16 | regulatory | ALLEGED BREACH OF DISCLOSURE OF NET SHORT POSITIONS ON THE SHARES OF AN ITALIAN LISTED COMPANY ACTIVE IN THE TMT SECTOR | Final | — |
| 2014-11-17 | regulatory | CONSOB ALLEGED MISSING OR DELAYED ENTRIES IN THREE REGISTERS HELD FOR MARKET ABUSE PURPOSES IN RELATION TO THREE BOOK BUILDING TRANSACTIONS OCCURRED IN 2013 AND 2014 | Final | $17K |
| 2003-12-01 | civil | ON DECEMBER 18, 2002, THE ITALIAN STOCK MARKET REGULATOR ("CONSOB"), RULED THAT MEDIOBANCA ACTED IN CONCERT WITH OTHER COMPANIES DURING THEIR COMBINED PURCHASE OF MORE THAN 30% OF THE SHARE CAPITAL OF LA FONDIARIA ASSICURAZIONI S.P.A. ("FONDIARIA", NOW UNIPOLSAI ASSICURAZIONI S.P.A. ("UNIPOLSAI") IN… | Final | — |
Other Private Fund: 10 · Hedge Fund: 3 · Securitized Asset Fund: 2
| Fund | Type | Formed | Owners | Gross asset value | Min investment |
|---|---|---|---|---|---|
| BYBROOK CAPITAL MASTER FUND LP | Hedge Fund | Cayman Islands | 166 | $1.7B | $100K |
| POLUS SPECIAL SITUATIONS FUND SCSP | Other Private Fund | Luxembourg | 43 | $1.2B | $10.9M |
| BYBROOK CAPITAL HAZELTON MASTER FUND | Hedge Fund | Cayman Islands | 1 | $612.7M | $100K |
| POLUS INVESTMENT FUNDS ICAV - POLUS EUROPEAN LOAN FUND | Other Private Fund | Ireland | 44 | $587.1M | $1.0M |
| POLUS INVESTMENT FUNDS ICAV - POLUS LOAN INVESTMENTS III | Other Private Fund | Ireland | 4 | $498.8M | $118K |
| WESTONBIRT FUND LP | Other Private Fund | Cayman Islands | 6 | $240.1M | $100K |
| BYBROOK CAPITAL BADMINTON 405 FUND LP | Hedge Fund | Cayman Islands | 3 | $146.0M | $100K |
| CAIRN CLO XX DESIGNATED ACTIVITY COMPANY | Securitized Asset Fund | Ireland | 4 | $79.1M | $295K |
| BYBROOK SALZBURG METRIC FUND LP | Other Private Fund | Cayman Islands | 12 | $61.2M | $100K |
| CAIRN CLO XI DESIGNATED ACTIVITY COMPANY | Securitized Asset Fund | Ireland | 4 | $60.2M | $295K |
| POLUS INVESTMENT FUNDS ICAV - CAIRN PATHFINDER FUND II | Other Private Fund | Ireland | 7 | $56.4M | $1.0M |
| POLUS INVESTMENTS FUNDS ICAV - CAIRN PATHFINDER II EUR FEEDER FUND | Other Private Fund | Ireland | 12 | $17.4M | $1.0M |
| POLUS INVESTMENT FUNDS ICAV - CAIRN CAPSTONE SPECIAL OPPORTUNITIES FUND | Other Private Fund | Ireland | 0 | — | $500K |
| POLUS INVESTMENT FUNDS ICAV - FOSSE FUND | Other Private Fund | Ireland | 0 | — | $109K |
| CAIRN CAPITAL INVESTMENT OPPORTUNITIES ICAV - CAIRN PATHFINDER FUND III | Other Private Fund | Ireland | 0 | — | $1.0M |