REGATTA LOAN MANAGEMENT LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 226518). Regulatory assets under management: $3.3B.
Compensation: % of AUM.
Clients served: Investment cos.
| Name | Role | Location |
|---|---|---|
| Michael Robert Williams | DIRECTOR/PRESIDENT | Santa Barbara, CA |
| Sonia Plata | CHIEF COMPLIANCE OFFICER | New York, NY |
| John Adler Crystal | DIRECTOR | ARLINGTON, VA |
| Peter Dana Noris | DIRECTOR | — |
| Jonathan Louis Dorfman | CHIEF EXECUTIVE OFFICER | — |
| Scott Jason Lorinsky | CHIEF LEGAL OFFICER | — |
| WILLIAMS BRYAN ROBERT | DIRECTOR/PRESIDENT | — |
| NORIS PETER DANA | DIRECTOR | — |
| DORFMAN JONATHAN LOUIS | CHIEF EXECUTIVE OFFICER | — |
| PLATA SONIA | CHIEF COMPLIANCE OFFICER | — |
| TRAUM JEFFREY LLOYD | GENERAL COUNSEL | — |
| CRYSTAL JOHN ADLER | DIRECTOR | — |
| LORINSKY SCOTT JASON | CHIEF LEGAL 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 | — | — | — |
| Fund | Type | Formed | Owners | Gross asset value | Min investment |
|---|---|---|---|---|---|
| REGATTA XVI FUNDING LTD. | Securitized Asset Fund | Cayman Islands | 1 | $537.1M | $250K |
| REGATTA XI FUNDING LTD. | Securitized Asset Fund | Cayman Islands | 1 | $449.0M | $250K |
| REGATTA X FUNDING LTD. | Securitized Asset Fund | Cayman Islands | 1 | $446.7M | $250K |
| REGATTA VI FUNDING LTD. | Securitized Asset Fund | Cayman Islands | 1 | $399.7M | $250K |
| REGATTA XII FUNDING LTD. | Securitized Asset Fund | Cayman Islands | 1 | $397.8M | $250K |
| REGATTA VIII FUNDING LTD. | Securitized Asset Fund | Cayman Islands | 1 | $395.1M | $250K |
| REGATTA VII FUNDING LTD. | Securitized Asset Fund | Cayman Islands | 1 | $386.6M | $250K |
| REGATTA IX FUNDING LTD. | Securitized Asset Fund | Cayman Islands | 1 | $319.4M | $250K |