NAPIER PARK GLOBAL CAPITAL (US) LP of NEW YORK, NY is an SEC-registered investment adviser (CRD 166333). Regulatory assets under management: $14.6B.
Compensation: % of AUM, Performance.
Clients served: Pooled vehicles, Investment cos.
| Name | Role | Location |
|---|---|---|
| Timothy Greatorex | CO-PRESIDENT | New York, NY |
| Michael Robert Williams | CO-PRESIDENT AND CHIEF OPERATING OFFICER | Santa Barbara, CA |
| Sonia Plata | CHIEF COMPLIANCE OFFICER | New York, NY |
| J. Ryan Clark | TRUSTEE | — |
| Dharma Teja Ignacio Jayanti | MEMBER; SOLE MEMBER | — |
| Jonathan Louis Dorfman | CO-CHIEF EXECUTIVE OFFICER | — |
| James Michael Obrien | CO-CHIEF EXECUTIVE OFFICER | — |
| Jeffrey Lloyd Traum | GENERAL COUNSEL | — |
| Spyro Stathonikos | CHIEF FINANCIAL OFFICER | — |
| WILLIAMS BRYAN ROBERT | CHIEF OPERATING OFFICER; CO-PRESIDENT AND CHIEF OPERATING OFFICER | — |
| OBRIEN BRIEN MICHAEL | CO-CHIEF EXECUTIVE OFFICER | — |
| DORFMAN JONATHAN LOUIS | CO-CHIEF EXECUTIVE OFFICER | — |
| BARRACK CRAIG | GENERAL COUNSEL | — |
| SPILKEVITZ SCOTT PERRY | CHIEF COMPLIANCE OFFICER | — |
| JAYANTI DHARMA TEJA IGNACIO | MEMBER; SOLE MEMBER | — |
| PLATA SONIA | CHIEF COMPLIANCE OFFICER | — |
| TRAUM JEFFREY LLOYD | GENERAL COUNSEL | — |
| Greatorex Timothy | CO-PRESIDENT | — |
| STATHONIKOS SPYRO | CHIEF FINANCIAL OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2015-09-21 | regulatory | THE SEC ALLEGED THAT FIRST EAGLE AND FEF DISTRIBUTORS IMPROPERLY CAUSED THE FIRST EAGLE MUTUAL FUNDS TO MAKE PAYMENTS TO TWO FINANCIAL INTERMEDIARIES FOR DISTRIBUTION RELATED SERVICES OUTSIDE OF A WRITTEN, APPROVED RULE 12B-1 PLAN, AND THAT WERE NOT PAID BY FIRST EAGLE OUT OF ITS OWN RESOURCES. IN A… | Final | $39.7M |
| — | regulatory | — | — | — |