OTUS CAPITAL MANAGEMENT LIMITED of LONDON is an SEC-registered investment adviser (CRD 284879). Regulatory assets under management: $387.0M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Performance.
Clients served: Pooled vehicles, Investment cos.
| Name | Role | Location |
|---|---|---|
| GIBBS PETER JOHN | CHIEF EXECUTIVE OFFICER | — |
| HALE PAUL F | CHIEF COMPLIANCE OFFICER; DIRECTOR/CHIEF COMPLIANCE OFFICER; SECRETARY | — |
| RODRIGUEZ FRANCISCO FELIX | SHAREHOLDER | — |
| GIBBS ANDREW | CHIEF EXECUTIVE OFFICER | — |
| Nunneley Andrew Pitcairn | DIRECTOR | — |
| HALE PAUL FRANCIS | DIRECTOR/CHIEF COMPLIANCE OFFICER | — |
| ESBER ELIAS NMN | SHAREHOLDER | — |
| ESTEGHAMAT KIAN NMN | SHAREHOLDER | — |
| Andrew Lionel John Gibbs | CHIEF EXECUTIVE OFFICER | — |
| Paul Francis Hale | DIRECTOR/CHIEF COMPLIANCE OFFICER | — |
| Richard Coyler | CHIEF OPERATING OFFICER | — |
| William Hamish Charles Pendrill Edsell | DIRECTOR | — |
| Emma Pendlebury | DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2018-12-21 | regulatory | ON THE 21 DECEMBER 2018, OCM RECEIVED NOTIFICATION FROM THE SWEDISH REGULATOR - FINANSINSPEKTIONEN - THAT IT WAS ISSUING THE FIRM WITH A PENALTY NOTICE OF SEK 240,000 (APPROX #20,500) RELATING TO AN ERROR IN A DISCLOSURE NOTIFICATION MADE BY OCM IN THE SWEDISH SECURITY STRAX AFTER WE WENT ABOVE THE… | Final | $25K |
| 2011-07-07 | civil | DISCLOSURE OF NON-PUBLIC INFORMATION. DISSEMINATING RESEARCH TO CLIENTS PRIOR TO PUBLICATION. | Final | $112K |
| 2009-09-28 | criminal | IN MARCH 2007 THE FSA ISSUED A FINAL NOTICE REPORT AGAINST MR. CASONI. THE MISCONDUCT TOOK PLACE IN JANUARY 2006 WHEN MR. CASONI WAS A LONDON BASED RESEARCH ANALYST AT CITIGROUP. THE FSA CONCLUDED THAT MR. CASONI DISSEMINATED INFORMATION TO CERTAIN CLIENTS AHEAD OF PUBLICATION ALLOWING THOSE CLIENTS… | Final | — |
| Fund | Type | Formed | Owners | Gross asset value | Min investment |
|---|---|---|---|---|---|
| OTUS SMALLER COMPANIES MASTER FUND | Hedge Fund | Cayman Islands | 26 | $129.3M | $100K |