UNIVERSA INVESTMENTS L.P.

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.

Registration

Business model

Compensation: % of AUM, Performance, Other.

Clients served: Pooled vehicles, Investment cos.

Officers, owners & control persons (8)

NameRoleLocation
Nirendran Sanjay KathirithambyCHIEF COMPLIANCE OFFICERMiami, FL
Mark William SpitznagelMEMBER; MANAGER; PRESIDENT; CHIEF INVESTMENT OFFICER; LIMITED PARTNER;—
Eric D SpencerCHIEF FINANCIAL OFFICER—
Brandon Scott YarckinCHIEF OPERATING OFFICER—
SPITZNAGEL MARK WILLIAMMEMBER; MANAGER; PRESIDENT; CHIEF INVESTMENT OFFICER; CHIEF COMPLIANCE OFFICER; LIMITED PARTNER;; PRESIDENT; CHIEF INVESTMENT OFFICER; LIMITED PARTNER;—
SPENCER ERIC DCFO; CFO; CHIEF COMPLIANCE OFFICER; CHIEF FINANCIAL OFFICER—
YARCKIN JEFFREY SCOTTCHIEF OPERATING OFFICER—
KATHIRITHAMBY NIRENDRAN SANJAYCHIEF COMPLIANCE OFFICER—

Disclosures (6)

InitiatedTypeAllegationsStatusAmount
2010-09-08regulatoryON 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———

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