DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Paloma Partners Management Company
Latest filing May 20, 2026
First filing on the tape Apr 13, 2012 · 41 filings
SEC status approved since Oct 17, 2011
RAUM
$30B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
64
30 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
4
reported on Schedule D
History
41 filings and snapshots on the tape
RAUM$30B as of May 20, 2026
Apr 13, 2012$3.8B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 20, 2026
Mar 28, 20130 then
Employees (5.A)64 as of May 20, 2026
Mar 28, 201340 then
Private funds4 as of May 20, 2026
Mar 23, 20156 then
RAUM +46% over the last fiscal year+4.3% a year over threeIARs 0 to 0offices 1 to 3
Practice profile
derived from the filing of May 20, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $10BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +46%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $1.1B, 3 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$30B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.1B for 3 clientsreported
- Compensation
- n/areported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
10 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Paloma International LP | Hedge Fund | $29B | 5 | Feb 14, 2012 |
| Paloma Partners LLC | Hedge Fund | $1.9B | 371 | Feb 14, 2012 |
| Paloma International Limited | Hedge Fund | $1.7B | 150 | Feb 14, 2012 |
| American Lane Quantitative Strategies Fund LPno longer reported | Hedge Fund | $582M | 4 | Aug 21, 2015 |
| Paloma Offshore Limited | Hedge Fund | $231M | 88 | Aug 21, 2015 |
| American Lane Quantitative Strategies Ltd.no longer reported | Hedge Fund | $217M | 15 | Aug 21, 2015 |
| American Lane Quantitative Strategies LLCno longer reported | Hedge Fund | $11.0M | 3 | Aug 21, 2015 |
| Capital Preservation Fund LLCno longer reported | Hedge Fund | $7.2M | 3 | Feb 25, 2013 |
| Capital Preservation Partners LLCno longer reported | Hedge Fund | $6.3M | 38 | Feb 14, 2012 |
| Capital Preservation Partners Limitedno longer reported | Hedge Fund | $1.1M | 6 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- David Neal Barbiero · Managing Director, Global Head Of Treasurycontrolsince 01/2024 · owns less than 5%
- Eliot David Friedman · Managing Director, Chief Compliance Officercontrolsince 04/2020 · owns less than 5%
- Michael John Gridley · Managing Director, Deputy Cio, Chief Operating Officercontrolsince 09/2023 · owns 5% to 10%
- Nmn Theodore Hagan · Managing Director, Chief Financial Officercontrolsince 01/2019 · owns 5% to 10%
- Scott Gregory Hayt · Director, Vice Chairmancontrolsince 01/2006 · owns 5% to 10%
- Nmn Paul Kukuruza · Managing Director, Chief Information Officercontrolsince 12/2012 · owns 5% to 10%
- Scott Barry Leskin · Managing Director, Chief Risk Officercontrolsince 01/2018 · owns 5% to 10%
- Erin Melissa Lewin · Managing Director, General Counselcontrolsince 09/2023 · owns less than 5%
- Lee Grant Rippetoe · Managing Directorcontrolsince 08/2024 · owns less than 5%
- Mohan Ravi Singh · Chief Strategy Officercontrolsince 02/2024 · owns less than 5%
- Donald Selwyn Sussman · Director, Chairman, And Ciocontrolsince 09/2011 · owns 5% to 10%
- Rasmus Andreas Bauer · Managing Directorsince 01/2016 · owns 5% to 10%
- Borisovna Julia Burhans · Managing Directorsince 05/2020 · owns 5% to 10%
- Regina Diane Erickson · Managing Directorsince 01/2018 · owns 5% to 10%
- Thomas Anthony Ferrari · Managing Directorsince 01/2018 · owns 5% to 10%
- Nmn Gabriele Linahan · Managing Directorsince 01/2018 · owns 5% to 10%
- Nmn Gavin Morrocu · Managing Director, Tax Directorsince 09/2011 · owns 5% to 10%
Related persons
Schedule D 7.A
- Cathay Capital III Master Gp, Ltd.investment adviserbankpooled vehicle sponsorn
- Cathay Capital IV Master Gp, Ltd.investment adviserbankpooled vehicle sponsorn
- New China Capital Management Corp.investment advisernRAUM $234M
- Paloma Switzerland Gmbhinvestment advisery
Advisers that list Paloma Partners Management Company as a related person
Offices
Schedule D 1.F, the 25 largest
- New York, NY4 employees
What changed
consecutive filings, newest first
- Advisory employees · 34 to 30Mar 31, 2025 to Mar 30, 2026
- Assets in custody · $1.7B to $1.1BMar 31, 2025 to Mar 30, 2026
- Employees · 65 to 64Mar 31, 2025 to Mar 30, 2026
- Other offices · 1 to 3Mar 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $21B to $30BMar 31, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $21B to $30BMar 31, 2025 to Mar 30, 2026
- RAUM · $21B to $30BMar 31, 2025 to Mar 30, 2026
- Advisory employees · 20 to 34Feb 28, 2025 to Mar 31, 2025
- Assets in custody · $3.3B to $1.7BFeb 28, 2025 to Mar 31, 2025
- Employees · 54 to 65Feb 28, 2025 to Mar 31, 2025
- Financial planning clients · unset to Feb 28, 2025 to Mar 31, 2025
- Discretionary RAUM · $29B to $21BFeb 28, 2025 to Mar 31, 2025
- Pooled vehicle RAUM · $29B to $21BFeb 28, 2025 to Mar 31, 2025
- RAUM · $29B to $21BFeb 28, 2025 to Mar 31, 2025
- Advisory employees · 22 to 20Sep 19, 2023 to Mar 27, 2024
- Assets in custody · $3.9B to $3.3BSep 19, 2023 to Mar 27, 2024
- Employees · 58 to 54Sep 19, 2023 to Mar 27, 2024
- Other offices · 0 to 1Sep 19, 2023 to Mar 27, 2024
- Discretionary RAUM · $27B to $29BSep 19, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $27B to $29BSep 19, 2023 to Mar 27, 2024
- RAUM · $27B to $29BSep 19, 2023 to Mar 27, 2024
- Advisory employees · 27 to 22Mar 31, 2022 to Mar 31, 2023
- Assets in custody · $4.1B to $3.9BMar 31, 2022 to Mar 31, 2023
- Employees · 62 to 58Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $13B to $27BMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $13B to $27BMar 31, 2022 to Mar 31, 2023
- RAUM · $13B to $27BMar 31, 2022 to Mar 31, 2023
- Advisory employees · 51 to 27Apr 27, 2021 to Mar 31, 2022
- Assets in custody · $4.0B to $4.1BApr 27, 2021 to Mar 31, 2022
- Employees · 85 to 62Apr 27, 2021 to Mar 31, 2022
- Discretionary RAUM · $11B to $13BApr 27, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $11B to $13BApr 27, 2021 to Mar 31, 2022
- RAUM · $11B to $13BApr 27, 2021 to Mar 31, 2022
- Advisory employees · 47 to 51May 1, 2020 to Mar 30, 2021
- Assets in custody · $4.6B to $4.0BMay 1, 2020 to Mar 30, 2021
- Employees · 86 to 85May 1, 2020 to Mar 30, 2021
- Discretionary RAUM · $12B to $11BMay 1, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $12B to $11BMay 1, 2020 to Mar 30, 2021
- RAUM · $12B to $11BMay 1, 2020 to Mar 30, 2021
- Advisory employees · 51 to 47Mar 29, 2019 to Mar 30, 2020
Signals
22 dated events
- Paloma Partners Management Company reported RAUM $30.3B, up 46% from $20.8B (2025-03-31 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- Paloma Partners Management Company reported RAUM $20.8B, down 29% from $29.4B (2025-02-28 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- Mohan Ravi Singh (Chief Strategy Officer) appeared on Schedule A of Paloma Partners Management CompanyOct 16, 2024 · Control person joined · fact
- Lee Grant Rippetoe (Managing Director) appeared on Schedule A of Paloma Partners Management CompanyOct 16, 2024 · Control person joined · fact
- Andrew Neil Chriss (Chief Executive Officer, Co-Cio) no longer on Schedule A of Paloma Partners Management Company (listed 2024-03-27, absent 2024-04-15)Apr 15, 2024 · Control person left · inference
- Walter Norman Feckl (Managing Director, Chief Counterparty Credit Officer) no longer on Schedule A of Paloma Partners Management Company (listed 2023-09-19, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- David Neal Barbiero (Managing Director, Global Head Of Treasury) appeared on Schedule A of Paloma Partners Management CompanyMar 27, 2024 · Control person joined · fact
- Erin Melissa Lewin (Managing Director, General Counsel) appeared on Schedule A of Paloma Partners Management CompanySep 19, 2023 · Control person joined · fact
- Wesley Douglas Ambrose (Managing Director, General Counsel) no longer on Schedule A of Paloma Partners Management Company (listed 2023-05-11, absent 2023-09-19)Sep 19, 2023 · Control person left · inference
- Ezra Michael Liebowitz (Managing Director) no longer on Schedule A of Paloma Partners Management Company (listed 2023-05-11, absent 2023-09-19)Sep 19, 2023 · Control person left · inference
- Fred Hal Lux (Managing Director) no longer on Schedule A of Paloma Partners Management Company (listed 2023-05-11, absent 2023-09-19)Sep 19, 2023 · Control person left · inference
- Andrew Neil Chriss (Chief Executive Officer, Co-Cio) appeared on Schedule A of Paloma Partners Management CompanyMay 11, 2023 · Control person joined · fact
- Paloma Partners Management Company reported RAUM $26.7B, up 106% from $12.9B (2022-03-31 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Day Christienne Gilbert (Managing Director) no longer on Schedule A of Paloma Partners Management Company (listed 2022-03-31, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Joseph John Smith (Managing Director) no longer on Schedule A of Paloma Partners Management Company (listed 2021-04-27, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Eliot David Friedman (Managing Director, Chief Compliance Officer) appeared on Schedule A of Paloma Partners Management CompanyMay 1, 2020 · Control person joined · fact
- Borisovna Julia Burhans (Managing Director) appeared on Schedule A of Paloma Partners Management CompanyMay 1, 2020 · Control person joined · fact
- Paloma Partners Management Company reported RAUM $12.2B, up 29% from $9.5B (2019-03-29 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Day Christienne Constabile (Managing Director) appeared on Schedule A of Paloma Partners Management CompanyMar 30, 2020 · Control person joined · fact
- Elene Heather Garson (Managing Director, Chief Compliance Officer) no longer on Schedule A of Paloma Partners Management Company (listed 2019-03-29, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Walter Norman Feckl (Managing Director, Chief Credit Officer) appeared on Schedule A of Paloma Partners Management CompanyMar 29, 2019 · Control person joined · fact
- Joseph John Smith (Managing Director) appeared on Schedule A of Paloma Partners Management CompanyMar 29, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/PALOMA-PARTNERS-MANAGEMENT-COMPANYreportedpublic record, Form ADV, Sep 17, 2026
- Website
- PALOMA.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 203-862-8000reportedpublic record, Form ADV, May 20, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026