UNIVERSA INVESTMENTS L.P. of MIAMI, FL is an SEC-registered investment adviser (CRD 146052). Regulatory assets under management: $21.3B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Performance, Other.
Clients served: Pooled vehicles, Investment cos.
| Name | Role | Location |
|---|---|---|
| Nirendran Sanjay Kathirithamby | CHIEF COMPLIANCE OFFICER | Miami, FL |
| Mark William Spitznagel | MEMBER; MANAGER; PRESIDENT; CHIEF INVESTMENT OFFICER; LIMITED PARTNER; | — |
| Eric D Spencer | CHIEF FINANCIAL OFFICER | — |
| Brandon Scott Yarckin | CHIEF OPERATING OFFICER | — |
| SPITZNAGEL MARK WILLIAM | MEMBER; MANAGER; PRESIDENT; CHIEF INVESTMENT OFFICER; CHIEF COMPLIANCE OFFICER; LIMITED PARTNER;; PRESIDENT; CHIEF INVESTMENT OFFICER; LIMITED PARTNER; | — |
| SPENCER ERIC D | CFO; CFO; CHIEF COMPLIANCE OFFICER; CHIEF FINANCIAL OFFICER | — |
| YARCKIN JEFFREY SCOTT | CHIEF OPERATING OFFICER | — |
| KATHIRITHAMBY NIRENDRAN SANJAY | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2010-09-08 | regulatory | ON SEPTEMBER 8, 2010, NYSE AMEX LLC INITIATED A SETTLED ENFORCEMENT PROCEEDING AGAINST BRANDON YARCKIN AND DANIEL TOSTO IN CONNECTION WITH THEIR EMPLOYMENT AT A BROKER-DEALER IN 2006. MR. YARCKIN, WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, CONSENTED TO A SETTLEMENT OF THE ACTION. THE ACTION ALLEG… | Final | $50K |
| — | civil | — | — | — |