# POLUS CAPITAL MANAGEMENT LIMITED

POLUS CAPITAL MANAGEMENT LIMITED of LONDON is an SEC-registered investment adviser.

## Registration

- CRD: 139138
- Type: SEC-registered investment adviser
- SEC file number: 801-66019
- Location: ASTICUS BUILDING, 21 PALMER STREET, LONDON, SW1H 0AD
- Phone: 44-20-7259-4800
- Latest filing: 2026-03-31
- Regulatory AUM: $5.3B
- Discretionary AUM: $5.3B
- Non-discretionary AUM: $10.1M
- Clients: 85
- Accounts: 17

## Business model

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

## Officers, owners & control persons (47)

_Showing 25 of 47 people._

| Name | Role | Location |
| --- | --- | --- |
| [Anthony Granville Mallin](https://search.stillhousedata.com/person/309482) | DIRECTOR | London, X0 |
| [Nicholas Ian Chalmers](https://search.stillhousedata.com/person/669611) | CHIEF EXECUTIVE OFFICER AND DIRECTOR | — |
| [Stefano Nmn Dova](https://search.stillhousedata.com/person/669613) | DIRECTOR | — |
| [Frank Nmn Goasguen](https://search.stillhousedata.com/person/669615) | DIRECTOR | — |
| [Andrew Lindsay Burke](https://search.stillhousedata.com/person/669616) | CHIEF INVESTMENT OFFICER - LEVERAGED LOANS AND DIRECTOR | — |
| [William Robert Cannon](https://search.stillhousedata.com/person/669617) | CHIEF COMPLIANCE OFFICER | — |
| [Alexandra Virginia Young](https://search.stillhousedata.com/person/672308) | DIRECTOR | — |
| [Shaun Rowan Wood](https://search.stillhousedata.com/person/672309) | CHIEF LEGAL OFFICER | — |
| [Samantha Leigh Bartlett](https://search.stillhousedata.com/person/672310) | CHIEF FINANCIAL OFFICER AND DIRECTOR | — |
| [Glen Colin Ronald Mifsud](https://search.stillhousedata.com/person/672311) | PRESIDENT | — |
| [Robert John Dafforn](https://search.stillhousedata.com/person/672312) | CHIEF INVESTMENT OFFICER - OPPORTUNISTIC CREDIT | — |
| [Melanie Jane Davison](https://search.stillhousedata.com/person/672313) | CHIEF OPERATING OFFICER AND DIRECTOR; CHIEF OPERATIONS OFFICER AND DIRECTOR | — |
| [Ryan Nmn Sinnott](https://search.stillhousedata.com/person/672314) | DIRECTOR | — |
| [Timothy James Albert Frost](https://search.stillhousedata.com/person/672315) | CHAIRMAN | — |
| [Dorota Joanna Holowiak](https://search.stillhousedata.com/person/708589) | CHIEF COMPLIANCE OFFICER | — |
| [PIERCE GARY ROBERT](https://search.stillhousedata.com/person/738981) | CHIEF COMPLIANCE OFFICER AND DIRECTOR; COMPLIANCE OFFICER; DIRECTOR | — |
| [STARKY JAMES TITHERADGE](https://search.stillhousedata.com/person/757966) | CHIEF LEGAL OFFICER | — |
| [CAMPBELL PAUL WILLIAM](https://search.stillhousedata.com/person/757967) | CHIEF EXECUTIVE OFFICER AND DIRECTOR | — |
| [FROST TIMOTHY JAMES ALBERT](https://search.stillhousedata.com/person/757968) | CHAIRMAN; DIRECTOR | — |
| [LITTLEWOOD DAVID ANTHONY](https://search.stillhousedata.com/person/757969) | DIRECTOR | — |
| [HENRIQUES DAVID QUIXANO](https://search.stillhousedata.com/person/757970) | DIRECTOR | — |
| [BENTLEY CHRISTOPHER ROBERT](https://search.stillhousedata.com/person/757971) | CHIEF OPERATIONS OFFICER | — |
| [GOASGUEN FRANK](https://search.stillhousedata.com/person/774793) | DIRECTOR | — |
| [HEADON ADRIAN DENIS](https://search.stillhousedata.com/person/799384) | CHIEF FINANCIAL OFFICER | — |
| [MALLIN ANTHONY](https://search.stillhousedata.com/person/818503) | MEMBER | — |


## Disclosures (10)

| 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 | — |


## Private funds (15)

Mix: Other Private Fund 10 · Hedge Fund 3 · Securitized Asset Fund 2

| Fund | Type | Formed | Owners | GAV | 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 |


## Fund service providers (5)

- administrator: U.S. BANK GLOBAL FUND SERVICES (IRELAND) LIMITED — 7 funds
- administrator: SS&C FUND SERVICES CAYMAN LIMITED — 4 funds
- administrator: SS&C FINANCIAL SERVICES LIMITED
- administrator: SS&C FUND SERVICES (CAYMAN) LTD.
- administrator: SS&C (LUXEMBOURG) SARL

## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/139138/brochure
- Similar advisers: https://search.stillhousedata.com/firm/139138/similar
- Related entities: https://search.stillhousedata.com/firm/139138/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/139138

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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.