SCULPTOR ADVISORS LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 319598). Regulatory assets under management: $989.0M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Performance.
Clients served: Investment cos.
| Name | Role | Location |
|---|---|---|
| Herbert Pollard | CHIEF FINANCIAL OFFICER OF SCULPTOR FUNDS | New York, NY |
| Wayne Nathan Cohen | CHIEF OPERATING OFFICER | — |
| Steven Edward Orbuch | PRESIDENT | — |
| Ellen B Conti | CHIEF FINANCIAL OFFICER | — |
| Colleen Mary Kilfoyle | EXECUTIVE MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER, CHIEF LITIGATION AND REGULATORY COUNSEL | — |
| ORBUCH STEVEN EDWARD | PRESIDENT | — |
| RITCHEA DAVA ELAINE | CHIEF FINANCIAL OFFICER | — |
| COHEN WAYNE NATHAN | CHIEF OPERATING OFFICER | — |
| ZEIDEN DAVID CRAIG | CHIEF COMPLIANCE OFFICER, CHIEF REGULATORY COUNSEL AND EXECUTIVE MANAGING DIRECTOR | — |
| CONTI ELLEN B | CHIEF FINANCIAL OFFICER | — |
| POLLARD HERBERT | CHIEF FINANCIAL OFFICER OF SCULPTOR FUNDS | — |
| KILFOYLE COLLEEN MARY | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER, CHIEF LITIGATION AND REGULATORY COUNSEL | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2016-12-13 | regulatory | IN APRIL 2014, OZME, A RELYING ADVISER OF OZ MANAGEMENT LP (TOGETHER WITH OZME, THE "FIRM") SUBSCRIBED FOR A TOTAL OF 24,000,000 SHARES OF A SECONDARY OFFERING OF EUROBANK ERGASIAS S.A., A GREEK LISTED ISSUER ("EUROBANK"). THE TRADE DATE FOR THIS TRANSACTION WAS APRIL 30, 2014, WITH A SETTLEMENT DAT… | Decision | $260K |
| 2016-09-29 | criminal | THE CHARGES RELATE TO PAYMENTS TO GOVERNMENT OFFICIALS TO OBTAIN INVESTMENTS BY A FOREIGN SOVEREIGN WEALTH FUND IN CERTAIN HEDGE FUNDS MANAGED BY THE REGISTRANT OR ITS AFFILIATES IN 2007 AND SIMILAR PAYMENTS RELATING TO PRIVATE INVESTMENTS IN AFRICA BETWEEN 2007 AND 2011 BY PRIVATE EQUITY FUNDS AND… | Final | — |
| 2016-09-26 | regulatory | THE SEC ENTERED A CEASE-AND-DESIST ORDER BY CONSENT AGAINST THE REGISTRANT, OCH-ZIFF, AND DANIEL S. OCH ("OCH") AND JOEL M. FRANK ("FRANK"), OCH-ZIFF'S CHIEF EXECUTIVE OFFICER AND CHIEF FINANCIAL OFFICER, RESPECTIVELY, WITHOUT EITHER OF THE INDIVIDUAL RESPONDENTS' ADMITTING OR DENYING THE FINDINGS I… | Final | — |
| 2016-09-07 | regulatory | THE EXECUTION OF AN EXCHANGE FOR RELATED POSITION ("EFRP") TRANSACTION IN WHICH THE RELATED POSITION WAS TRANSITORY IN NATURE AND, THEREFORE, WAS NOT A BONA FIDE EFRP. | Final | $15K |
| 2015-07-14 | regulatory | ON JULY 14, 2015, IN SETTLEMENT OF AN ADMINISTRATIVE PROCEEDING, THE U.S. SECURITIES AND EXCHANGE COMMISSION ("SEC") ENTERED A CEASE-AND-DESIST ORDER AGAINST OZ MANAGEMENT, LP ("OZ MANAGEMENT"). THE SEC FOUND THAT OZ MANAGEMENT CAUSED SEVERAL OF ITS PRIME BROKERS TO VIOLATE THEIR LEGAL OBLIGATIONS T… | Final | $4.3M |