Tetragon Financial Management LP (New York)

Name: Tetragon Financial Management LP
Address: 399 Park Avenue, New York, NY, 10022
Telephone: 212-359-7300

Tetragon Financial Management LP is a large advisory firm based in New York. It manages $2.25 billion of regulatory assets for 1 client accounts. It has been registered with the SEC as an adviser since 2011.

Tetragon Financial Management provides portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Tetragon Financial Management: assets under management

The assets under management (AUM) of Tetragon Financial Management LP is $2.25 billion, all of which is managed in discretionary accounts. The firm's AUM has gone down by -44% since the beginning of its operation, and $2.25 billion of the total AUM is attributable to clients outside of the United States.

The firm manages $2.25 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $2.25 billion each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Tetragon Financial Management LP for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Tetragon Financial Management serves?

The only and largest group of clients of Tetragon Financial Management is pooled investment vehicles with 1 clients and $2.25 billion of assets under management. Among the 9 most similar advisory firms, Tetragon Financial Management has the 4th highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $2.25 billion for 1 clients. 100% of the firm’s clients are foreign persons or businesses.

Tetragon Financial Management also advises several private funds. Namely, one hedge fund.

Careers at Tetragon Financial Management LP

The company employs 14 people that are either part- or full-time employees. 86 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Tetragon Financial Management Gp Llc	General partner	1 Jul 2005	Other	20-3311417
Hrw Holdings Llc	Limited partner	1 Jul 2005	50% - 75%	20-3253870
Reade Eugene Griffith	Principal	1 Jul 2005	Other	3155603
Patrick Giles Gauntlet Dear	Principal	1 Jul 2005	Other	1775223
Philip Nmn Bland	Chief financial officer	1 Jul 2005	Other	5069653
Sean Andrew Cote	General counsel	1 Jul 2005	Other	5874134
Polygon Credit Management Holdings Lp	Limited partner	1 Jul 2005	50% - 75%	27-4600504
Alexander Edward Jackson	Principal	1 Jul 2005	Other	1543440
Polygon Credit Management Holdings Lp	Limited partner	1 Dec 2007	50% - 75%	27-4600504
Paul Gannon	Chief financial officer	1 Aug 2008	Other	6770275
Gregory Nmn Wadsworth	Director of business development	1 Jun 2009	Other	2747968
James Patrick Feeney	Chief compliance officer	1 Sep 2011	Other	3234646
Sean Andrew Cote	General counsel and chief compliance officer	1 Nov 2013	Other	5874134
Stacy Felice Scheehle	Chief compliance officer	1 Jan 2014	Other	4113085
Stephen Lionel Prince	Head of north america	1 Oct 2015	Other	5033916
Paul Ronald Gannon	Chief financial officer	1 Jan 2017	Other	6770275

Indirect Owners

The SEC currently registers 17 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Alexander Edward Jackson	Shareholder	1 Nov 2002	75% - 100%	1543440
Polygon Credit Holdings Ltd.	Member	1 May 2005	75% - 100%	138316
Aej Holdco Ltd.	Shareholder	1 Jun 2005	25% - 50%	foreign
Jeffrey Theodore Herlyn	Member	1 Jul 2005	25% - 50%	1584224
Michael Nmn Rosenberg	Member	1 Jul 2005	25% - 50%	1918752
David Charles Wishnow	Member	1 Jul 2005	25% - 50%	1833880
Polygon Credit Holdings Ltd.	Member	1 Sep 2005	75% - 100%	138316
Polygon Credit Holdings Ltd.	Limited partner	1 Dec 2007	75% - 100%	138316
Tetragon Financial Management Gp Llc	General partner	1 Dec 2007	Other	20-3311417
Reg Holdco Ii Ltd.	Shareholder	1 Mar 2008	25% - 50%	98-0634652
Reg Holdco Ii Ltd.	Shareholder	1 Oct 2012	25% - 50%	98-0634652
Aej Holdco Ltd.	Shareholder	1 Oct 2012	25% - 50%	foreign
The Reade Griffith Trust	Shareholder	1 Oct 2012	75% - 100%	98-0634652
Ogier Trustee (Jersey) Limited	Trustee	1 Oct 2012	Other	foreign
John Bender	Trustee	1 Oct 2012	Other	6138390
Alexander Edward Jackson	Shareholder	1 Oct 2012	75% - 100%	1543440
Reade Eugene Griffith	Owner	1 Jul 2013	75% - 100%	3155603

Based in New York

The principal office where Tetragon Financial Management LP performs its advisory services is located at 399 Park Avenue, New York, NY 10022, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-359-7300 or by fax 212-359-7301. The normal business hours are 9:00 a.m. to 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at tetragoninv.com/.