TETRAGON PARTNERS L.P. of NEW YORK, NY is an SEC-registered investment adviser (CRD 156040). Regulatory assets under management: $6.4B.
Compensation: % of AUM, Performance, Other.
Clients served: Pooled vehicles, Investment cos, Other.
| Name | Role | Location |
|---|---|---|
| Reade Eugene Griffith | PRINCIPAL | New York, NY |
| Gregory Nmn Wadsworth | DIRECTOR OF BUSINESS DEVELOPMENT | — |
| Sean Andrew Cote | GENERAL COUNSEL | — |
| Stacy Felice Scheehle | CHIEF COMPLIANCE OFFICER | — |
| Stephen Lionel Prince | CEO OF TETRAGON PARTNERS; CEO OF TFG ASSET MANAGEMENT | — |
| Paul Ronald Gannon | CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER / CHIEF OPERATING OFFICER | — |
| FEENEY JAMES PATRICK | CHIEF COMPLIANCE OFFICER | — |
| JACKSON RONALD EDWARD | SHAREHOLDER | — |
| HUMPHRIES MICHAEL JAMES | PRINCIPAL | — |
| GRIFFITH READE EUGENE | LIMITED PARTNER; MEMBER; PRINCIPAL (+1 more) | — |
| DEAR PATRICK GILES GAUNTLETT | LIMITED PARTNER; MEMBER; PRINCIPAL | — |
| BLAND PHILIP | CHIEF FINANCIAL OFFICER | — |
| WADSWORTH GREGORY | DIRECTOR OF BUSINESS DEVELOPMENT | — |
| COTE SEAN | GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | — |
| DEAR PATRICK GILES GAUNTLET | LIMITED PARTNER; MEMBER; PRINCIPAL | — |
| BLAND PHILIP NMN | CHIEF FINANCIAL OFFICER | — |
| WADSWORTH GREGORY NMN | DIRECTOR OF BUSINESS DEVELOPMENT | — |
| COTE SEAN ANDREW | GENERAL COUNSEL; GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | — |
| VILLON JORGE FERNANDO | CHIEF EXECUTIVE OFFICER | — |
| SCHEEHLE STACY FELICE | CHIEF COMPLIANCE OFFICER | — |
| PRINCE STEPHEN LIONEL | CEO OF TFG ASSET MANAGEMENT; CO-HEAD OF NORTH AMERICA; HEAD OF NORTH AMERICA (+1 more) | — |
| GANNON PAUL | CHIEF FINANCIAL OFFICER | — |
| GANNON PAUL RONALD | CHIEF FINANCIAL OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-12-09 | regulatory | ON 9 DECEMBER 2021, FINANSTILSYNET (FINANCIAL SUPERVISORY AUTHORITY OF NORWAY) IMPOSED A FINE OF NOK 80,000 UPON TFG ASSET MANAGEMENT UK LLP (F/K/A POLYGON GLOBAL PARTNERS LLP) WITH RESPECT TO A FAILURE BY POLYGON TO DISCLOSE A CHANGE IN ITS NET SHORT POSITION IN A NORWEGIAN ISSUER. THERE WERE NO OT… | Final | $9K |
| 2016-01-27 | regulatory | NOTIFICATIONS OF NET SHORT POSITIONS IN EUROPEAN LISTED ISSUERS ARE SUBJECT TO REGULATION (EU) NO. 26/2012 OF THE EUROPEAN PARLIAMENT (THE "EU SHORT SELLING REGULATION"). UNDER THE EU SHORT SELLING REGULATION, NET SHORT POSITIONS EQUAL TO 0.20% OF THE ISSUED SHARE CAPITAL AND CHANGES OF EACH 0.10% A… | Final | $51K |