O'CONNOR ALTERNATIVE INVESTMENTS, LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 336332). Regulatory assets under management: $16.4B.
Compensation: % of AUM, Performance.
Clients served: Pooled vehicles, Investment cos.
| Name | Role | Location |
|---|---|---|
| Walter Desmond Karle | CHIEF COMPLIANCE OFFICER | — |
| William Joseph Ferri | GLOBAL HEAD OF ASSET MANAGEMENT | — |
| Danny H Salinas | CHIEF FINANCIAL OFFICER | — |
| Joseph Thomas Giaimo | CHIEF OPERATING OFFICER | — |
| Adam Marc Brajer | GENERAL COUNSEL AND SECRETARY; SECRETARY | — |
| Brandon Gerald Lutnick | CHIEF EXECUTIVE OFFICER; CONTROLLING TRUSTEE | — |
| Kyle Lutnick | TRUSTEE | — |
| Casey S Lutnick | TRUSTEE | — |
| Ryan G Lutnick | TRUSTEE | — |
| Charles Mathys | CHIEF COMPLIANCE OFFICER | Chicago, IL |
| Connor Burke | GENERAL COUNSEL - O'CONNOR | — |
| Howard William Lutnick | SOLE TRUSTEE | — |
| John Joseph Jones | GENERAL COUNSEL AND SECRETARY | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-12-12 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION ("COMMISSION") DEEMS IT APPROPRIATE THAT CEASE-AND-DESIST PROCEEDINGS BE, AND HEREBY ARE, INSTITUTED AGAINST CANTOR FITZGERALD, L.P. ("CFLP"). IN ANTICIPATION OF THE INSTITUTION OF THESE PROCEEDINGS, CFLP HAS SUBMITTED AN OFFER OF SETTLEMENT WHICH THE COMMISSIO… | Final | $6.8M |