STONE RIDGE ASSET MANAGEMENT LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 165598). Regulatory assets under management: $36.3B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Performance, Other.
Clients served: Pooled vehicles, Investment cos.
| Name | Role | Location |
|---|---|---|
| Tomer Seifan | HEAD OF ALTERNATIVE FIXED INCOME AND CHIEF FINANCIAL OFFICER | Hamilton, D0 |
| KELLY PATRICK | CHIEF OPERATING OFFICER | MONTREAL, A8 |
| JAMES THOMAS ROTHWELL | CHIEF ADMINISTRATIVE OFFICER AND HEAD OF LEGAL | NEW YORK, NY |
| Ross Lawrence Stevens | LIMITED PARTNER; MANAGER OF GENERAL PARTNER | — |
| Lauren Decker Macioce | GENERAL COUNSEL / CHIEF COMPLIANCE OFFICER | — |
| Ross L Stevens | CHIEF EXECUTIVE OFFICER | — |
| Paul Eric Germain | PRESIDENT | — |
| STEVENS ROBERT L | CHIEF EXECUTIVE OFFICER; MANAGER; MANAGER OF GENERAL PARTNER (+1 more) | — |
| KORACH JANE ELIZABETH | GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER | — |
| ROTHWELL JAMES THOMAS | CHIEF ADMINISTRATIVE OFFICER AND HEAD OF LEGAL; HEAD OF LEGAL | — |
| MACIOCE LAUREN DECKER | GENERAL COUNSEL / CHIEF COMPLIANCE OFFICER | — |
| GERMAIN PAUL ERIC | HEAD OF ALTERNATIVE LENDING AND CHIEF OPERATIONS OFFICER; PRESIDENT | — |
| STEVENS ROSS LAWRENCE | LIMITED PARTNER; MANAGER OF GENERAL PARTNER | — |
| SEIFAN TOMER | HEAD OF STRUCTURED INVESTMENTS AND CHIEF FINANCIAL OFFICER | — |
| DONAT SAMUEL LAWRENCE | CHIEF OPERATIONS OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2018-02-23 | regulatory | THE ACTION INVOLVED AN ALLEGED VIOLATION OF CHICAGO MERCANTILE EXCHANGE ("CME") RULE 538.C IN CONNECTION WITH THE EXECUTION OF CERTAIN EXCHANGE FOR RELATED POSITION ("EFRP") TRANSACTIONS. | Final | $40K |