KINGDON CAPITAL MANAGEMENT, L.L.C. of NEW YORK, NY is an SEC-registered investment adviser (CRD 157509). Regulatory assets under management: $959.8M.
Compensation: % of AUM, Performance.
Clients served: High net worth, Pooled vehicles, Charities, Investment cos.
| Name | Role | Location |
|---|---|---|
| David J Paul | PRESIDENT | SANTA ROSA, CA |
| Mark Elliot Kingdon | MANAGING MEMBER/CHIEF EXECUTIVE OFFICER; SHAREHOLDER | — |
| William Joseph Walsh | CHIEF FINANCIAL OFFICER | — |
| Richard Howard Weinstein | CHIEF OPERATING OFFICER/GENERAL COUNSEL /CHIEF COMPLIANCE OFFICER | — |
| RIEGER NANCY OWEN | CHIEF INVESTMENT OFFICER | — |
| WALSH WILLIAM JOSEPH | CHIEF FINANCIAL OFFICER | — |
| BARBAGALLO ALFRED JOHN | GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | — |
| WEINSTEIN RICHARD HOWARD | CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL; CHIEF OPERATING OFFICER/GENERAL COUNSEL /CHIEF COMPLIANCE OFFICER; GENERAL COUNSEL | — |
| KINGDON MARK ELLIOT | MANAGING MEMBER/CHIEF EXECUTIVE OFFICER; MANAGING MEMBER/PRESIDENT; SHAREHOLDER | — |
| WINTERS ALAN | CHIEF OPERATING OFFICER | — |
| MACKEY MICHAEL JAY | CHIEF INVESTMENT OFFICER; PORTFOLIO MANAGER | — |
| ODOM BRETT BOROUGHS | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-06-26 | regulatory | SEBI CLAIMS THE ADVISER AND MARK KINGDON COLLUDED IN A SCHEME DEVISED TO USE ADVANCE KNOWLEDGE OF NON-PUBLIC INFORMATION REGARDING THE EXISTENCE, TIMING AND OVERALL NATURE OF A REPORT THAT HINDENBURG RESEARCH LLC PUBLISHED TO ALLEGEDLY ENABLE ADVISER CLIENTS TO BUILD A SHORT POSITION IN THE FUTURES… | Pending | — |