MERRICKS CAPITAL PTY LTD of MELBOURNE is an SEC-registered investment adviser (CRD 157533). Regulatory assets under management: $2.1B.
Compensation: % of AUM, Fixed, Performance.
Clients served: High net worth, Pooled vehicles, Investment cos.
| Name | Role | Location |
|---|---|---|
| Adrian Redlich | EXECUTIVE CHAIRMAN, CHIEF INVESTMENT OFFICER AND DIRECTOR | — |
| Anne Louise Forbes-Harper | GENERAL COUNSEL, COMPANY SECRETARY & CHIEF COMPLIANCE OFFICER; GENERAL COUNSEL, COMPANY SECRETARY, DIRECTOR & CHIEF COMPLIANCE OFFICER | — |
| David Malcolm Hackett | NON-EXECUTIVE DIRECTOR | — |
| Sandra Yin Ting Chui | CHIEF OPERATING OFFICER | — |
| Brendan John O'Connor | DIRECTOR | — |
| O'CONNOR NEIL JOHN | DIRECTOR | — |
| LINDELL HENRY A | CHIEF COMPLIANCE OFFICER AND DIRECTOR; CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER AND DIRECTOR; HEAD OF STRUCTURED CREDIT AND DIRECTOR | — |
| REDLICH ADRIAN | CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER AND DIRECTOR; DIRECT INDIVIDUAL OWNER; EXECUTIVE CHAIRMAN, CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER AND DIRECTOR (+1 more) | — |
| LIBERMAN JUSTIN | DIRECTOR | — |
| DAVIES RICHARD GETHIN | DIRECTOR | — |
| LIBERMAN BORI | DIRECT INDIVIDUAL OWNER | — |
| TORRINGTON ANDREW COLIN | CHIEF COMPLIANCE OFFICER; MANAGING DIRECTOR OF INVESTMENTS | — |
| Forbes-Harper Anne Louise | GENERAL COUNSEL & COMPANY SECRETARY; GENERAL COUNSEL, COMPANY SECRETARY, & CHIEF COMPLIANCE OFFICER; GENERAL COUNSEL, COMPANY SECRETARY, DIRECTOR & CHIEF COMPLIANCE OFFICER | — |
| LIBERMAN HELEN | DIRECT INDIVIDUAL OWNER | — |
| REDLICH CHRISTINA | DIRECT INDIVIDUAL OWNER | — |
| HACKETT DAVID MALCOLM | CHIEF EXECUTIVE OFFICER, MANAGING DIRECTOR; NON-EXECUTIVE DIRECTOR | — |
| CHUI SANDRA YIN TING | CHIEF OPERATING OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-10-14 | criminal | THE INDICTMENT RELATES TO ALLEGED VIOLATIONS OF THE FINANCIAL INVESTMENT AND CAPITAL MARKETS ACT IN CONNECTION WITH CERTAIN HEDGING TRADES EXECUTED BY A FORMER REGAL FUNDS MANAGEMENT PTY LIMITED EMPLOYEE ON 18 OCTOBER 2019 INVOLVING AN ISSUER LISTED ON THE KOREA EXCHANGE. | Pending | — |
| 2023-12-26 | regulatory | THE SECURITIES AND FUTURES COMMISSION HAS PROVIDED NOTICE OF THE IMPOSITION OF ADMINISTRATIVE FINES AND PENALTIES OF KRW 313,200,000 (APPROX. USD$234,000) FOR ALLEGED BREACHES OF THE SOUTH KOREAN SECURITIES LEGISLATION (INCLUDING THE FINANCIAL INVESTMENT AND CAPITAL MARKETS ACT AND RELATED REGULATIO… | On Appeal | $234K |