VOLEON CAPITAL MANAGEMENT LP of BERKELEY, CA is an SEC-registered investment adviser (CRD 147443). Regulatory assets under management: $29.4B.
Compensation: % of AUM, Performance, Other.
Clients served: Pooled vehicles, Investment cos.
| Name | Role | Location |
|---|---|---|
| Michael Kharitonov | CHIEF EXECUTIVE OFFICER AND LIMITED PARTNER; MEMBER | Berkeley, CA |
| Jon David Mcauliffe | CHIEF INVESTMENT OFFICER AND LIMITED PARTNER; CO-CHIEF INVESTMENT OFFICER AND LIMITED PARTNER | — |
| Jeremy Isaiah Rosenblatt | HEAD OF SYSTEMS AND SOFTWARE; MANAGING DIRECTOR OF STRATEGIC PROJECTS | — |
| Lee Philip Koffler | CHIEF OPERATING OFFICER | — |
| Steven Earl Schraibman | GENERAL COUNSEL | — |
| Stephen Michael Terry | CHIEF FINANCIAL OFFICER | — |
| Julianne Collins Dixon | CHIEF COMPLIANCE OFFICER | — |
| Faye Mcgrath | CHIEF COMPLIANCE OFFICER | BERKELEY, CA |
| JONES KENNETH PHIL | CHIEF COMPLIANCE OFFICER; CHIEF FINANCIAL OFFICER | — |
| DEGUZMAN LAARNI PARAWAN | CHIEF COMPLIANCE OFFICER | — |
| CHANG GEORGE PERCY | GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | — |
| TERRY MICHAEL | CHIEF FINANCIAL OFFICER | — |
| KHARITONOV MICHAEL | CHIEF EXECUTIVE OFFICER AND LIMITED PARTNER; MEMBER | — |
| MCAULIFFE JON DAVID | CHIEF INVESTMENT OFFICER AND LIMITED PARTNER; LIMITED PARTNER AND CHIEF INVESTMENT OFFICER | — |
| BRIEN HEATHER | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER | — |
| TUMARKIN STACY | CHIEF FINANCIAL OFFICER | — |
| HOTES SCOTT | CHIEF TECHNOLOGY OFFICER | — |
| TUMARKIN STACY ALEX | CHIEF FINANCIAL OFFICER | — |
| ROSENBLATT JEREMY ISAIAH | MANAGING DIRECTOR OF STRATEGIC PROJECTS | — |
| Koffler Lee Philip | CHIEF OPERATING OFFICER | — |
| ROSENBLATT JEREMY I | MANAGING DIRECTOR OF STRATEGIC PROJECTS | — |
| SCHRAIBMAN STEVEN EARL | GENERAL COUNSEL | — |
| MCGRATH FAYE | CHIEF COMPLIANCE OFFICER | — |
| Vassil Chatalbashev | CO-CHIEF INVESTMENT OFFICER AND LIMITED PARTNER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2022-04-29 | regulatory | IN MARCH 2019 AND JUNE 2020, VOLEON SUBMITTED NOTIFICATIONS FOR NET SHORT POSITIONS IN THE SHARES OF TWO SWEDISH ISSUERS TO THE SWEDISH FINANCIAL SUPERVISORY AUTHORITY ("SFSA") PURSUANT TO THE EUROPEAN UNION REGULATION ON SHORT SELLING ("SSR") AFTER THE NEXT-DAY NOTIFICATION DEADLINE REQUIRED BY THE… | Final | $10K |
| 2022-03-29 | regulatory | IN MARCH 2019 AND JUNE 2020, VOLEON SUBMITTED NOTIFICATIONS FOR NET SHORT POSITIONS IN THE SHARES OF TWO SWEDISH ISSUERS TO THE SWEDISH FINANCIAL SUPERVISORY AUTHORITY ("SFSA") PURSUANT TO THE EUROPEAN UNION REGULATION ON SHORT SELLING ("SSR") AFTER THE NEXT-DAY NOTIFICATION DEADLINE REQUIRED BY THE… | Final | $10K |