BTG PACTUAL ASSET MANAGEMENT US , LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 152538). Regulatory assets under management: $30.1B.
Compensation: % of AUM, Fixed, Performance, Commissions, Other.
Clients served: High net worth, Pooled vehicles, Charities, Investment cos, Other.
Showing 25 of 30 people.
| Name | Role | Location |
|---|---|---|
| MARTIN SCOTT | MANAGING PARTNER | FORT LAUDERDALE, FL |
| Martin J Scott | MANAGING PARTNER | St Peter Port, Y7 |
| Martin E Scott | MANAGING PARTNER | Sunnyvale, CA |
| Sharon Ann Ingram | CHIEF COMPLIANCE OFFICER | — |
| John Joseph Fath | MANAGING PARTNER | — |
| Andre Santos Esteves | SHAREHOLDER | — |
| Nandikesh Anilkumar Dixit | CHIEF LEGAL OFFICER | — |
| William Glisson Rose | CHIEF OPERATING OFFICER | — |
| Alexis Gontow Maron | CHIEF FINANCIAL OFFICER | — |
| Dagmara Katarzyna Frankowska | CHIEF COMPLIANCE OFFICER | — |
| Mariana Botelho Ramalho Cardoso | CHIEF COMPLIANCE OFFICER | — |
| SCHWARTZ CARY MICHAEL | DIRECTOR | — |
| GALLAGHER CONOR PATRICK | DIRECTOR | — |
| REED PHILIP JAMES WILLIAM | DIRECTOR | — |
| ESTEVES ANDRE SANTOS | SHAREHOLDER | — |
| FATH JOHN JOSEPH | DIRECTOR; MANAGING PARTNER | — |
| SACHDEV ANHAD | CHIEF COMPLIANCE OFFICER | — |
| INGRAM SHARON ANN | CHIEF COMPLIANCE OFFICER | — |
| WALLACH ANDREW M | CHIEF COMPLIANCE OFFICER; DIRECTOR | — |
| SHAPIRO JOSHUA FRED | CHIEF COMPLIANCE OFFICER | — |
| CORLITO DAYNA A | CHIEF OPERATIONS OFFICER | — |
| GRUBER RICHARD EDWARD | CHIEF COMPLIANCE OFFICER | — |
| CHEUK SIMON K | CHIEF COMPLIANCE OFFICER | — |
| CHAGAS DE OLIVEIRA JOAO MAURICIO | CHIEF COMPLIANCE OFFICER | — |
| Kalim Marcelo | SHAREHOLDER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2015-08-21 | regulatory | SPOOFING IN VIOLATION OF EXCHANGE RULES. | Final | $50K |
| 2014-09-15 | regulatory | THE CMVM ALLEGES THAT BTG PACTUAL (UK) LIMITED ("BTG UK") FAILED TO REPORT A NET SHORT POSITION OVER LISTED SHARES IN MARCH OF 2014 AND JULY OF 2014 UNDER ARTICLES 5(1)(2) AND 9(2) OF EU REGULATION NO. 236/2012, WHICH CONSTITUTES AN OFFENSE UNDER ARTICLE 389(1)(C) OF THE PORTUGUESE SECURITIES CODE.… | Final | $25K |
| — | regulatory | — | — | — |