# MANGROVE PARTNERS IM, LLC

MANGROVE PARTNERS IM, LLC of GREENWICH, CT is an SEC-registered investment adviser. This firm reports disciplinary history on Form ADV.

## Registration

- CRD: 162296
- Type: SEC-registered investment adviser
- SEC file number: 801-78070
- Location: 2 SOUND VIEW DRIVE, 3RD FLOOR, GREENWICH, CT, 06830
- Phone: 212-897-9535
- Latest filing: 2026-03-31
- Regulatory AUM: $2.7B
- Discretionary AUM: $2.7B
- Clients: 19
- Accounts: 4

## Business model

- Compensation: % of AUM, Performance
- Clients served: Investment cos

## Officers, owners & control persons (9)

| Name | Role | Location |
| --- | --- | --- |
| Nathaniel Hall August | PRESIDENT | — |
| Ward Thomas Dietrich | CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER | — |
| DIETRICH WARD THOMAS | CHIEF OPERATING OFFICER; CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER; CHIEF OPERATING OFFICER - MANGROVE CAPITAL | — |
| ROSS ROBERT | PARTNER, SENIOR ANALYST | — |
| AUGUST NATHANIEL HALL | PRESIDENT; PRESIDENT - MANGROVE CAPITAL | — |
| KALICKA JEFFREY STEVEN | DIRECTOR OF RESEARCH; DIRECTOR OF RESEARCH - MANGROVE CAPITAL; SENIOR ANALYST (+1 more) | — |
| STECK BRIAN GERARD | MANAGING DIRECTOR; MANAGING DIRECTOR - MANGROVE CAPITAL; SENIOR ANALYST (+1 more) | — |
| LEE PHILP SAN | SENIOR ANALYST; SENIOR ANALYST - MANGROVE CAPITAL | — |
| Palese Kimberly Lynn-Marie | CHIEF FINANCIAL OFFICER | — |


## Disclosures (15)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2020-09-30 | regulatory | ACCORDING TO REQUIREMENTS IMPOSED BY THE FINANCIAL SUPERVISORY AUTHORITY OF NORWAY ("FSA NORWAY") RELATED TO THE EUROPEAN SECURITIES MARKETS AUTHORITY EU REGULATION ON SHORT SELLING, THE MANGROVE PARTNERS MASTER FUND, LTD. (THE "CAYMAN MASTER") REPORTED ITS NET SHORT POSITION IN THE ISSUED SHARE CAP… | Final | — |
| 2018-02-12 | regulatory | ACCORDING TO REQUIREMENTS IMPOSED BY THE SWEDISH FINANCIAL SUPERVISION AUTHORITY ("SWEDISH FI") RELATED TO THE EUROPEAN SECURITIES MARKETS AUTHORITY EU REGULATION ON SHORT SELLING, THE MANGROVE PARTNERS MASTER FUND, LTD. (THE "CAYMAN MASTER") REPORTED ITS NET SHORT POSITION IN THE ISSUED SHARE CAPIT… | Final | $2K |
| 2018-02-12 | regulatory | ACCORDING TO REQUIREMENTS IMPOSED BY THE SWEDISH FINANCIAL SUPERVISION AUTHORITY ("SWEDISH FI") RELATED TO THE EUROPEAN SECURITIES MARKETS AUTHORITY EU REGULATION ON SHORT SELLING, THE MANGROVE PARTNERS MASTER FUND, LTD. (THE "CAYMAN MASTER") REPORTED ITS NET SHORT POSITION IN THE ISSUED SHARE CAPIT… | Final | $2K |
| 2018-02-12 | regulatory | ACCORDING TO REQUIREMENTS IMPOSED BY THE SWEDISH FINANCIAL SUPERVISION AUTHORITY ("SWEDISH FI") RELATED TO THE EUROPEAN SECURITIES MARKETS AUTHORITY EU REGULATION ON SHORT SELLING, THE MANGROVE PARTNERS MASTER FUND, LTD. (THE "CAYMAN MASTER") REPORTED ITS NET SHORT POSITION IN THE ISSUED SHARE CAPIT… | Final | $620 |
| 2018-02-12 | regulatory | ACCORDING TO REQUIREMENTS IMPOSED BY THE SWEDISH FINANCIAL SUPERVISION AUTHORITY ("SWEDISH FI") RELATED TO THE EUROPEAN SECURITIES MARKETS AUTHORITY EU REGULATION ON SHORT SELLING, THE MANGROVE PARTNERS MASTER FUND, LTD. (THE "CAYMAN MASTER") REPORTED ITS NET SHORT POSITION IN THE ISSUED SHARE CAPIT… | Final | $1K |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/162296/brochure
- Similar advisers: https://search.stillhousedata.com/firm/162296/similar
- Related entities: https://search.stillhousedata.com/firm/162296/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/162296

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.