SHOREBIRD CAPITAL, LP of SAN ANTONIO, TX is an SEC-registered investment adviser (CRD 285437). This firm reports disciplinary history on Form ADV.
Compensation: % of AUM.
Clients served: High net worth, Other.
| Name | Role | Location |
|---|---|---|
| Byron Lucien Fields | CO-CEO; MEMBER | Austin, TX |
| Gery Joseph Sadzewicz | CHIEF COMPLIANCE OFFICER | — |
| Joe-Ben O'Banion | CO-CEO; MEMBER | San Antonio, TX |
| SADZEWICZ GERY JOSEPH | CHIEF COMPLIANCE OFFICER | — |
| HUNTLEY CARL LANCE | CCO | — |
| FIELDS BYRON LUCIEN | CO-CEO; LIMITED PARTNER; MEMBER (+3 more) | — |
| O'BANION JOE-BEN | CO-CEO; MEMBER | — |
| MIMARI LEON ANTHONY | CCO; CHIEF COMPLIANCE OFFICER | — |
| KRONENBERG GEORGE HENRY | LIMITED PARTNER; MEMBER; MEMBER OF SHOREBIRD CAPITAL GP, LLC (+2 more) | — |
| GRAFF AUSTIN | MEMBER; MEMBER OF SHOREBIRD AVOCET FUND GP, LLC | — |
| Araiza Enrique | CCO | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2015-12-04 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTION AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO REPORT TO TRACE TRANSACTIONS IN TRACE ELIGIBLE BONDS WITHIN 15 MINUTES OF THE TIME OF EXECUTION. THE FINDINGS STATED THAT IN ADDITION, THE FIRM REPORTED INACCURATE EXECUTION T… | Final | $5K |