QVT FINANCIAL LP of NEW YORK, NY is an SEC-registered investment adviser (CRD 156508). Regulatory assets under management: $1.8B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Performance.
Clients served: Investment cos.
| Name | Role | Location |
|---|---|---|
| Daniel Allen Gold | CHIEF EXECUTIVE OFFICER; LIMITED PARTNER; MEMBER | New York, NY |
| Tracy Chuin Fu | LIMITED PARTNER | New York, NY |
| Nicholas David Stupnick Brumm | LIMITED PARTNER | New York, NY |
| Arthur Paishih Chu | LIMITED PARTNER | — |
| Michael Gat | GENERAL COUNSEL | — |
| Margaret Sarah Eisner | CHIEF COMPLIANCE OFFICER | — |
| Victor Andrew Kaiser-Pendergrast | CHIEF OPERATING OFFICER | — |
| COLLINS DANIEL | CHIEF ACCOUNTING OFFICER; CHIEF ACCOUNTING OFFICER; LIMITED PARTNER; CHIEF OPERATING OFFICER (+2 more) | — |
| GOLD JOSEPH ALLEN | CHIEF EXECUTIVE OFFICER; LIMITED PARTNER; CHIEF EXECUTIVE OFFICER; MANAGING MEMBER OF GENERAL PARTNER; MEMBER | — |
| CHU ARTHUR PAISHIH | LIMITED PARTNER; PARTNER; MANAGING MEMBER OF GENERAL PARTNER | — |
| FU TRACY CHUIN | LIMITED PARTNER; PARTNER; MANAGING MEMBER OF GENERAL PARTNER | — |
| BRUMM NICHOLAS DAVID STUPNICK | LIMITED PARTNER | — |
| SALE JULIAN ROBERT | CHIEF COMPLIANCE OFFICER; CHIEF FINANCIAL OFFICER; CHIEF COMPLIANCE OFFICER; CHIEF FINANCIAL OFFICER; LIMITED PARTNER; CHIEF FINANCIAL OFFICER; LIMITED PARTNER | — |
| EISNER MARGARET SARAH | CHIEF COMPLIANCE OFFICER | — |
| GAT MICHAEL | GENERAL COUNSEL | — |
| SADEGHI-NEJAD FATEMEH | GENERAL COUNSEL; GENERAL COUNSEL; LIMITED PARTNER | — |
| BRUMM NICHOLAS DAVID STUPRICK | LIMITED PARTNER; PARTNER; MANAGING MEMBER OF GENERAL PARTNER | — |
| COLLINS DANIEL THOMAS | CHIEF OPERATING OFFICER | — |
| Kaiser-Pendergrast Victor Andrew | CHIEF OPERATING OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-07-17 | regulatory | IN 2023, FINANSTILSYNET FINED QVT FINANCIAL LP FOR A PURPORTED LATE REGULATORY FILING MADE IN 2022. QVT CHALLENGED THIS ALLEGATION DIRECTLY WITH FINANSTILSYNET IN 2023 AND THEREAFTER APPEALED THE FINE TO THE NORWEGIAN MINISTRY OF FINANCE (DET KONGELIGE FINANSDEPARTEMENT). IN APRIL 2025, THE MINISTRY… | Final | $10K |
| 2021-01-21 | regulatory | FINANSTILSYNET FINED QVT FINANCIAL LP FOR A PURPORTED LATE REGULATORY FILING IN 2018. QVT CHALLENGED THIS ALLEGATION DIRECTLY WITH FINANSTILSYNET IN 2019 AND THEN APPEALED THE FINE TO THE NORWEGIAN MINISTRY OF FINANCE (DET KONGELIGE FINANSDEPARTEMENT) IN 2020. IN DECEMBER 2020, THE MINISTRY OF FINAN… | Final | $4K |