MILLENNIUM MANAGEMENT LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 158117). Regulatory assets under management: $720.8B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Performance, Other.
Clients served: Pooled vehicles, Investment cos.
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| Name | Role | Location |
|---|---|---|
| Ajay Nagpal | PRESIDENT AND CHIEF OPERATING OFFICER | New York, NY |
| George Rohr | MANAGER; TRUSTEE | New York, NY |
| Gregory James Fleming | TRUSTEE | Redwood City, CA |
| Israel Alexander Englander | CHIEF EXECUTIVE OFFICER; MEMBER; TRUSTEE | — |
| Mark Israel Meskin | CHIEF STRATEGIC DEVELOPMENT OFFICER | — |
| Martin Zvi Schwartz | CHIEF COMPLIANCE OFFICER | — |
| John Struth Novogratz | CHIEF MARKETING OFFICER; GLOBAL HEAD OF CAPITAL DEVELOPMENT AND INVESTOR RELATIONS; GLOBAL HEAD OF CAPITAL DEVELOPMENT & INVESTOR RELATIONS | — |
| Gil Adam Raviv | GLOBAL GENERAL COUNSEL | — |
| Vladimir Torgovnik | CHIEF INFORMATION OFFICER | — |
| Joshua Lionel Nash | TRUSTEE | — |
| Peter Alphonso Santoro | GLOBAL CO-HEAD OF EQUITIES; GLOBAL HEAD OF EQUITIES | — |
| Ross Anden Garon | GLOBAL HEAD OF QUANTITATIVE STRATEGIES | — |
| Paul Martin Russo | CO-CIO AND GLOBAL HEAD OF EQUITIES RISK | — |
| Rosanna Elizabeth Konarzewski | CHIEF COMMUNICATIONS OFFICER | — |
| Jeffrey Louis Verschleiser | GLOBAL HEAD OF CREDIT AND MORTGAGE RISK | — |
| Scott Michael Rofey | GLOBAL HEAD OF FIC AND CROSS ASSET RISK; GLOBAL HEAD OF RATES, MACRO AND COMMODITIES RISK | — |
| Justin Gerald Gmelich | CO-CIO | — |
| Richard Scott Mazzella | GLOBAL HEAD OF FIXED INCOME | — |
| Daniel Jonathan Widawsky | CHIEF ADMINISTRATIVE OFFICER AND CHIEF FINANCIAL OFFICER; CHIEF ADMINISTRATIVE OFFICER, CHIEF FINANCIAL OFFICER | — |
| Anthony Pierre Dewell | GLOBAL HEAD OF COMMODITIES | — |
| Dan Michael Berkovitz | VICE CHAIRMAN, EXTERNAL AND REGULATORY AFFAIRS | — |
| Sungwook Michael Chung | GLOBAL CO-HEAD OF EQUITIES | — |
| Philip Rafael Berlinski | CO-CHIEF OPERATING OFFICER | — |
| Joseph Chaim Shenker | TRUSTEE | — |
| Charles Tappan Dowling | MANAGER; TRUSTEE | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-12-27 | regulatory | PRIOR TO DOUGLAS SCHADEWALD'S EMPLOYMENT WITH REGISTRANT, AND DURING THE TIME THAT HE WAS AFFILIATED WITH JANE STREET OPTIONS, LLC ("JSOP"), SCHADEWALD AND JSOP WERE ALLEGED TO HAVE VIOLATED CBOE RULE 8.1 AND 8.16 IN MAY 2021. NEITHER JSOP NOR SCHADEWALD ADMIT OR DENY THAT VIOLATIONS OF EXCHANGE RUL… | Final | $650K |
| 2022-11-21 | regulatory | THE CME ALLEGED THAT REGISTRANT VIOLATED NYMEX RULES 432.Q AND 432.W (ACT DETRIMENTAL TO EXCHANGE/SUPERVISION) WITH RESPECT TO SENDING TWO SEPARATE FUTURES ORDERS TO A THIRD PARTY FCM'S TRADING EXECUTION ALGORITHM (WHICH THEN PLACED MULTIPLE ORDERS FOR THE REGISTRANT ON THE FUTURES EXCHANGE), WHICH,… | Final | $90K |
| 2021-10-29 | regulatory | CERTAIN NET SHORT POSITION FILINGS OF NORWEGIAN ISSUERS WERE INADVERTENTLY MADE SHORTLY AFTER THE NEXT DAY FILING DEADLINE. | Final | $5K |
| 2019-11-06 | regulatory | IN THE MATTER 16932-18: THE FIRM TIMELY FILED WITH THE SFSA THE NET SHORT POSITION IN THE SHARES OF A SINGLE SWEDISH ISSUER. HOWEVER, THE FILING CONTAINED A TYPOGRAPHICAL ERROR, WAS LATER CORRECTED BUT NONETHELESS CONSIDERED BY THE SFSA TO HAVE BEEN FILED LATER THAN THE NEXT DAY FILING DEADLINE. IN… | Final | $20K |
| 2018-01-25 | regulatory | THE FIRM SELF-REPORTED TO THE SFSA THE NET SHORT POSITION IN SHARES OF A SINGLE SWEDISH ISSUER. THE FILING WAS INADVERTENTLY LATER THAN THE NEXT FILING DAY. | Final | $518 |
| 2017-10-31 | regulatory | MILLENNIUM MANAGEMENT LLC (THE "MILLENNIUM RESPONDENT") WAS ALLEGED TO HAVE VIOLATED RULE 105 OF REGULATION M OF THE SECURITIES EXCHANGE ACT OF 1934 ("RULE 105"). | Final | $300K |
| 2016-01-29 | regulatory | THE FIRM SELF-REPORTED TO THE SFSA THE NET SHORT POSITION IN THE SHARES OF A SINGLE SWEDISH ISSUER. THE FILING WAS MADE INADVERTENTLY LATER THAN THE NEXT DAY FILING DEADLINE. | Final | $41K |