# POLUS CAPITAL MANAGEMENT (US) INC.

POLUS CAPITAL MANAGEMENT (US) INC. of NEW YORK, NY is an SEC-registered investment adviser.

## Registration

- CRD: 323283
- Type: SEC-registered investment adviser
- SEC file number: 801-129156
- Location: 152 WEST 57TH STREET, NEW YORK, NY, 10019
- Phone: 646-653-2389
- Latest filing: 2026-03-31
- Regulatory AUM: $1.2B
- Discretionary AUM: $1.2B
- Clients: 18
- Accounts: 3

## Business model

- Compensation: % of AUM, Performance
- Clients served: Investment cos

## Officers, owners & control persons (21)

| Name | Role | Location |
| --- | --- | --- |
| [Nicholas Ian Chalmers](https://search.stillhousedata.com/person/669611) | DIRECTOR | — |
| [David Dae Kim](https://search.stillhousedata.com/person/669612) | DIRECTOR | — |
| [Stefano Nmn Dova](https://search.stillhousedata.com/person/669613) | DIRECTOR | — |
| [Annalisa Nmn Rotunno](https://search.stillhousedata.com/person/669614) | DIRECTOR | — |
| [Frank Nmn Goasguen](https://search.stillhousedata.com/person/669615) | DIRECTOR | — |
| [Andrew Lindsay Burke](https://search.stillhousedata.com/person/669616) | CHIEF INVESTMENT OFFICER - LEVERAGED LOANS / DIRECTOR | — |
| [William Robert Cannon](https://search.stillhousedata.com/person/669617) | CHIEF COMPLIANCE OFFICER | — |
| [Shaun Rowan Wood](https://search.stillhousedata.com/person/672309) | CHIEF COMPLIANCE OFFICER | — |
| [Dorota Joanna Holowiak](https://search.stillhousedata.com/person/708589) | CHIEF COMPLIANCE OFFICER | — |
| [GOASGUEN FRANK](https://search.stillhousedata.com/person/774793) | DIRECTOR | — |
| [GOODE JACQUELINE MARIE](https://search.stillhousedata.com/person/825710) | CHIEF COMPLIANCE OFFICER | — |
| [Holowiak Dorota Joanna](https://search.stillhousedata.com/person/845965) | CHIEF COMPLIANCE OFFICER | — |
| [CHALMERS NICHOLAS IAN](https://search.stillhousedata.com/person/853627) | DIRECTOR | — |
| [Burke Andrew Lindsay](https://search.stillhousedata.com/person/860975) | CHIEF INVESTMENT OFFICER - LEVERAGED LOANS / DIRECTOR | — |
| [Davison Melanie Jane](https://search.stillhousedata.com/person/870676) | CHIEF COMPLIANCE OFFICER | — |
| [KIM DAVID DAE](https://search.stillhousedata.com/person/878890) | DIRECTOR | — |
| [DOVA STEFANO NMN](https://search.stillhousedata.com/person/883726) | DIRECTOR | — |
| [ROTUNNO ANNALISA NMN](https://search.stillhousedata.com/person/883727) | DIRECTOR | — |
| [GOASGUEN FRANK NMN](https://search.stillhousedata.com/person/883728) | DIRECTOR | — |
| [Dova Stefano](https://search.stillhousedata.com/person/884377) | DIRECTOR | — |
| [Rotunno Annalisa](https://search.stillhousedata.com/person/884378) | DIRECTOR | — |


## Disclosures (14)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2021-05-03 | regulatory | SHORTCOMINGS IN TRANSPARENCY AND FAIRNESS IN CUSTOMER RELATIONS AND INCORRECT APPLICATION OF COMMISSIONS. THESHORTCOMINGS HAVE BEEN REMEDIED. | Final | $3.1M |
| 2019-12-17 | regulatory | WEAKNESS IN THE AML CUSTOMER DUE DILIGENCE AND SUSPICIOUS ACTIVITY REPORTING PROCESSES. THE SHORTCOMINGS HAVE BEEN REMEDIED. | Final | $1.4M |
| 2017-02-17 | regulatory | ALLEGED BREACH OF RULES ON DISCLOSURE OBLIGATION TO THE MARKET IN RELATION TO A TRANSACTION REGARDING AN ITALIAN LISTED COMPANY ACTIVE IN THE TMT SECTOR | Final | $87K |
| 2015-12-16 | regulatory | ALLEGED BREACH OF DISCLOSURE OF NET SHORT POSITIONS ON THE SHARES OF AN ITALIAN LISTED COMPANY ACTIVE IN THE TMT SECTOR | Final | — |
| 2014-11-17 | regulatory | CONSOB ALLEGED MISSING OR DELAYED ENTRIES IN THREE REGISTERS HELD FOR MARKET ABUSE PURPOSES IN RELATION TO THREE BOOK BUILDING TRANSACTIONS OCCURED IN 2013 AND 2014. | Final | $17K |
| 2003-12-01 | civil | ON DECEMBER 18, 2002, THE ITALIAN STOCK MARKET REGULATOR ("CONSOB"), RULED THAT MEDIOBANCA ACTED IN CONCERT WITH OTHER COMPANIES DURING THEIR COMBINED PURCHASE OF MORE THAN 30% OF THE SHARE CAPITAL OF LA FONDIARIA ASSICURAZIONI S.P.A. ("FONDIARIA", NOW UNIPOLSAI ASSICURAZIONI S.P.A. ("UNIPOLSAI") IN… | Final | — |


## Private funds (3)

| Fund | Type | Formed | Owners | GAV | Min investment |
| --- | --- | --- | --- | --- | --- |
| POLUS US CLO II LTD. | Securitized Asset Fund | Cayman Islands | 3 | $409.0M | $250K |
| POLUS US CLO I LTD. | Securitized Asset Fund | Bermuda | 3 | $408.9M | $250K |
| POLUS US CLO III LTD. | Securitized Asset Fund | Cayman Islands | 3 | $365.4M | $250K |


## Branch offices (2)

| City | State | Employees | Phone |
| --- | --- | --- | --- |
| — | — | 1 | (646) 689-4107 |
| — | — | 1 | (646) 689-4107 |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/323283/brochure
- Similar advisers: https://search.stillhousedata.com/firm/323283/similar
- Related entities: https://search.stillhousedata.com/firm/323283/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/323283

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.