INDABA CAPITAL MANAGEMENT, L.P. of SAN FRANCISCO, CA is an SEC-registered investment adviser (CRD 157905). Regulatory assets under management: $736.8M.
Compensation: % of AUM, Performance.
Clients served: Investment cos.
| Name | Role | Location |
|---|---|---|
| Derek Christopher Schrier | LIMITED PARTNER, MANAGING PARTNER AND CHIEF INVESTMENT OFFICER; MANAGING MEMBER; TRUSTEE (+1 more) | — |
| Joshua E Prime | LIMITED PARTNER | — |
| Eduard Christiaan Sent | LIMITED PARTNER AND INVESTMENT PARTNER | — |
| Zachary Seth Rosenberg | GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | — |
| Melody Zhepeng Lang | CHIEF FINANCIAL OFFICER | — |
| SCHRIER DEREK CHRISTOPHER | LIMITED PARTNER, MANAGING PARTNER AND CHIEF INVESTMENT OFFICER; MANAGING MEMBER; MANAGING PARTNER, CHIEF INVESTMENT OFFICER AND SENIOR MANAGING MEMBER (+2 more) | — |
| HASSAN ANTHONY | LIMITED PARTNER, CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER; LIMITED PARTNER, CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER; PARTNER, CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER AND MANAGING MEMBER | — |
| MCCONNON THOMAS ENDEL | LIMITED PARTNER AND INVESTMENT PARTNER; PARTNER AND MANAGING MEMBER | — |
| PRIME JOSHUA E | LIMITED PARTNER; LIMITED PARTNER AND INVESTMENT PARTNER; PARTNER AND MANAGING MEMBER | — |
| BRIER HANK | LIMITED PARTNER AND GENERAL COUNSEL; LIMITED PARTNER, GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER; PARTNER, GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER AND MANAGING MEMBER | — |
| KAPLAN ROBERT STEVEN | CHAIRMAN AND MEMBER; LIMITED PARTNER AND CHAIRMAN; SENIOR ADVISOR AND MEMBER | — |
| DODGE ANDREW M | LIMITED PARTNER AND INVESTMENT PARTNER | — |
| WALTERSPIEL ALEXANDER DAVID | LIMITED PARTNER AND TRADER | — |
| WILSON SARAH FRANCES | LIMITED PARTNER AND DIRECTOR OF BUSINESS DEVELOPMENT | — |
| Rosenberg Zachary Seth | CHIEF COMPLIANCE OFFICER; GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | — |
| SENT EDUARD CHRISTIAAN | LIMITED PARTNER AND INVESTMENT PARTNER; LIMITED PARTNER AND INVESTMENT PRINCIPAL | — |
| TJONGTJINTAI ROGER | LIMITED PARTNER AND INVESTMENT PARTNER | — |
| LERNER ALEXANDER | LIMITED PARTNER AND INVESTMENT PARTNER | — |
| JIANG JOAN | CHIEF COMPLIANCE OFFICER | — |
| O'FALLON DEVIN W | LIMITED PARTNER AND DIRECTOR OF INVESTOR RELATIONS AND BUSINESS DEVELOPMENT | — |
| WETMORE WILLIAM KENNETH | CHIEF COMPLIANCE OFFICER | — |
| MOONEY DARREN WILLIAM | CHIEF COMPLIANCE OFFICER | — |
| Lang Melody Zhepeng | CHIEF FINANCIAL OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2014-09-16 | regulatory | THE SEC ALLEGED THAT, IN JUNE 2012, INDABA CAPITAL MANAGEMENT, L.P., ACTING ON BEHALF OF ITS CLIENTS, VIOLATED RULE 105 OF REGULATION M UNDER THE SECURITIES EXCHANGE ACT OF 1934 ("RULE 105") BY PARTICIPATING IN A FOLLOW-ON PUBLIC OFFERING AFTER HAVING SOLD SHORT THE SAME SECURITY DURING THE RULE 105… | Final | $97K |
| City | State | Employees | Phone |
|---|---|---|---|
| ASPEN | CO | 1 | 415-680-1030 |
| ASPEN | CO | 1 | 415-680-1030 |