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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

POLUS CAPITAL MANAGEMENT (US) INC.

CRD 323283

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:4f4f63f9-86b3-12cf-b401-c8458b1aec92

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:43 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 11
On other graphs: 0
Observed: Nov 3, 2023 to Mar 31, 2026
13 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=1.0
Regulatory AUM: $1.2BItem 5.F on the latest filing (2026-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.2B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 18
Advisory employees: 7
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 3
Private funds: 3Schedule D 7.B(1)
Custody, client assets: $0
SEC number: 801-129156
CRD: 323283
Filings on the tape: 13
First filed: Nov 3, 2023
Latest filed: Mar 31, 2026
Organised: Corporation, DE
Website: poluscapital.com

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
POLUS US CLO I LTD.	Securitized Asset Fund	$400M	Aug 15, 2024	3	Mar 29, 2024	reported	n/a

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
Burke, Andrew, Lindsay	CHIEF INVESTMENT OFFICER - LEVERAGED LOANS / DIRECTOR	Na	yes	03/2024	Jun 24, 2024	Aug 15, 2024
CHALMERS, NICHOLAS, IAN	Director	Na	yes	10/2023	Nov 3, 2023	Aug 15, 2024
DOVA, STEFANO, NMN	Director	Na	yes	03/2024	Mar 29, 2024	Aug 15, 2024
GOASGUEN, FRANK, NMN	Director	Na	yes	03/2024	Mar 29, 2024	Aug 15, 2024
Holowiak, Dorota, Joanna	CHIEF COMPLIANCE OFFICER	Na	yes	07/2024	Aug 15, 2024	Aug 15, 2024
KIM, DAVID, DAE	Director	Na	yes	07/2023	Nov 3, 2023	Aug 15, 2024
MEDIOBANCA-BANCA DI CREDITO FINANZIARIO S.P.A	Shareholder	D	yes	12/2015	Nov 3, 2023	Aug 15, 2024
POLUS CAPITAL MANAGEMENT GROUP LIMITED	Shareholder	E	yes	10/2023	Nov 3, 2023	Aug 15, 2024
ROTUNNO, ANNALISA, NMN	Director	Na	yes	03/2024	Mar 29, 2024	Aug 15, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
POLUS CAPITAL MANAGEMENT LIMITED	n/a	Asset manager	$5.3B	N	yes	n/a
BYBROOK CAPITAL BADMINTON FUND (GP) LIMITED	n/a	n/a	n/a	N	yes	n/a
BYBROOK CAPITAL BURTON PARTNERSHIP (GP) LIMITED	n/a	n/a	n/a	N	yes	n/a
BYBROOK CAPITAL FUND (GP) LIMITED	n/a	n/a	n/a	N	yes	n/a
MEDIOBANCA- BANCA DI CREDITO FINANZIARIO S.P.A	n/a	n/a	n/a	Y	no	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 31, 2026	$1.2B	$1.2B	18	7	1	3	n/a
2024	Mar 31, 2025	$508M	$508M	18	8	1	2	n/a
2023	Mar 29, 2024	$40.0M	$40.0M	5	3	0	1	$40.0M

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$1.2B	$508M	132.7%	n/a	n/a	18	18	1	1

Relationships

Affiliated with (2)

→ POLUS CAPITAL MANAGEMENT LIMITEDRegistered adviserother investment adviser, bank, common control
factForm ADV
← POLUS CAPITAL MANAGEMENT LIMITEDRegistered adviserother investment adviser, common control
factForm ADV

Advises (1)

→ POLUS US CLO I LTD.Private fundSecuritized Asset Fund, IA
Mar 29, 2024 to presentfactForm ADV

Controls (9)

← GOASGUEN, FRANK, NMNOwnerDIRECTOR, ownership code NA, individual
Mar 29, 2024 to Aug 15, 2024factForm ADV
← KIM, DAVID, DAEOwnerDIRECTOR, ownership code NA, individual
Nov 3, 2023 to Aug 15, 2024factForm ADV
← CHALMERS, NICHOLAS, IANOwnerDIRECTOR, ownership code NA, individual
Nov 3, 2023 to Aug 15, 2024factForm ADV
← Holowiak, Dorota, JoannaOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Aug 15, 2024 to Aug 15, 2024factForm ADV
← Burke, Andrew, LindsayOwnerCHIEF INVESTMENT OFFICER - LEVERAGED LOANS / DIRECTOR, ownership code NA, individual
Jun 24, 2024 to Aug 15, 2024factForm ADV
← DOVA, STEFANO, NMNOwnerDIRECTOR, ownership code NA, individual
Mar 29, 2024 to Aug 15, 2024factForm ADV
← ROTUNNO, ANNALISA, NMNOwnerDIRECTOR, ownership code NA, individual
Mar 29, 2024 to Aug 15, 2024factForm ADV
← MEDIOBANCA-BANCA DI CREDITO FINANZIARIO S.P.AOwnerSHAREHOLDER, ownership code D, foreign entity
Nov 3, 2023 to Aug 15, 2024factForm ADV
← POLUS CAPITAL MANAGEMENT GROUP LIMITEDOwnerSHAREHOLDER, ownership code E, foreign entity
Nov 3, 2023 to Aug 15, 2024factForm ADV

Dated events

Occurred
Mar 31, 2026
Regulatory AUM changed
Polus Capital Management (Us) Inc. reported RAUM $1.2B, up 133% from $508.4M (2025-12-11 to 2026-03-31)
Form ADVobserved 4 days ago
$675M
Occurred
Mar 31, 2025
Regulatory AUM changed
Polus Capital Management (Us) Inc. reported RAUM $508.4M, up 27% from $400.0M (2024-08-15 to 2025-03-31)
Form ADVobserved 4 days ago
$108M
Occurred
Aug 15, 2024
Control person joined
Joanna Dorota Holowiak (Chief Compliance Officer) appeared on Schedule A of Polus Capital Management (Us) Inc.
Form ADVobserved 4 days ago
Occurred
Aug 15, 2024
Control person left
Jane Melanie Davison (Chief Compliance Officer) no longer on Schedule A of Polus Capital Management (Us) Inc. (listed 2024-07-19, absent 2024-08-15)
Form ADVobserved 4 days ago
Occurred
Jun 24, 2024
Control person joined
Lindsay Andrew Burke (Chief Investment Officer - Leveraged Loans / Director) appeared on Schedule A of Polus Capital Management (Us) Inc.
Form ADVobserved 4 days ago
Occurred
Mar 29, 2024
Control person joined
Jane Melanie Davison (Chief Compliance Officer) appeared on Schedule A of Polus Capital Management (Us) Inc.
Form ADVobserved 4 days ago
Occurred
Mar 29, 2024
Control person joined
Stefano Dova (Director) appeared on Schedule A of Polus Capital Management (Us) Inc.
Form ADVobserved 4 days ago
Occurred
Mar 29, 2024
Control person joined
Annalisa Rotunno (Director) appeared on Schedule A of Polus Capital Management (Us) Inc.
Form ADVobserved 4 days ago
Occurred
Mar 29, 2024
Control person joined
Frank Goasguen (Director) appeared on Schedule A of Polus Capital Management (Us) Inc.
Form ADVobserved 4 days ago
Occurred
Mar 29, 2024
Control person left
Marie Jacqueline Goode (Chief Compliance Officer) no longer on Schedule A of Polus Capital Management (Us) Inc. (listed 2024-03-06, absent 2024-03-29)
Form ADVobserved 4 days ago
Occurred
Nov 3, 2023
First Form ADV filing
Cairn Capital North America Inc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4f4f63f9-86b3-12cf-b401-c8458b1aec92
First observed: Nov 3, 2023
Last observed: Mar 31, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

POLUS CAPITAL MANAGEMENT (US) INC.

CRD 323283

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:4f4f63f9-86b3-12cf-b401-c8458b1aec92

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:43 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

POLUS US CLO I LTD.

Securitized Asset Fund

$400M

Aug 15, 2024

Mar 29, 2024

reported

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

Burke, Andrew, Lindsay

CHIEF INVESTMENT OFFICER - LEVERAGED LOANS / DIRECTOR

yes

03/2024

Jun 24, 2024

Aug 15, 2024

CHALMERS, NICHOLAS, IAN

Director

yes

10/2023

Nov 3, 2023

Aug 15, 2024

DOVA, STEFANO, NMN

Director

yes

03/2024

Mar 29, 2024

Aug 15, 2024

GOASGUEN, FRANK, NMN

Director

yes

03/2024

Mar 29, 2024

Aug 15, 2024

Holowiak, Dorota, Joanna

CHIEF COMPLIANCE OFFICER

yes

07/2024

Aug 15, 2024

KIM, DAVID, DAE

Director

yes

07/2023

Nov 3, 2023

Aug 15, 2024

MEDIOBANCA-BANCA DI CREDITO FINANZIARIO S.P.A

Shareholder

yes

12/2015

Nov 3, 2023

Aug 15, 2024

POLUS CAPITAL MANAGEMENT GROUP LIMITED

Shareholder

yes

10/2023

Nov 3, 2023

Aug 15, 2024

ROTUNNO, ANNALISA, NMN

Director

yes

03/2024

Mar 29, 2024

Aug 15, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

POLUS CAPITAL MANAGEMENT LIMITED

n/a

Asset manager

$5.3B

yes

n/a

BYBROOK CAPITAL BADMINTON FUND (GP) LIMITED

n/a

yes

n/a

BYBROOK CAPITAL BURTON PARTNERSHIP (GP) LIMITED

n/a

yes

n/a

BYBROOK CAPITAL FUND (GP) LIMITED

n/a

yes

n/a

MEDIOBANCA- BANCA DI CREDITO FINANZIARIO S.P.A

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 31, 2026

$1.2B

n/a

2024

Mar 31, 2025

$508M

n/a

2023

Mar 29, 2024

$40.0M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$1.2B

$508M

132.7%

n/a