New & Closed – 2019 November


As part of a regular exercise, we scan the NFA register for new and closed funds. The below report will be developed over time and will be a recurring feature.

In November, we noted that 17 managed applied for new registrations with the NFA. Most of them are located in the USA. UK was the second most popular location to start a new CTA. This largely follows the distribution of managers. Not all of the managers are new, but have decided to register a specific entity.

Name State Country Date
Elliott Investment Management lpNew YorkUnited States11/2/2019
Transatlantic Investment Partners LlcCaliforniaUnited States11/2/2019
Hedge Point Financial LlcCaliforniaUnited States11/5/2019
Glance Financial Advisors LlcMichiganUnited States11/5/2019
Ironwall Capital Management LlpLondon City United Kingdom11/6/2019
StopkaIllinoisUnited States11/12/2019
Hambledon IncGrand CaymanCayman Islands11/15/2019
Eisler Capital Uk LtdUnited Kingdom11/15/2019
Sterling Capital Management LlcColoradoUnited States11/15/2019
TaorminaFloridaUnited States11/15/2019
Jscm LimitedUnited Kingdom11/20/2019
T Rowe Price Advisory Services IncMarylandUnited States11/22/2019
Cirera Capital LimitedUnited Kingdom11/26/2019
Abaci Cp Advisors LlcNorth CarolinaUnited States11/27/2019
Alpstone Capital Suisse saSwitzerland11/27/2019
Bbshares Capital Management LimitedGrand CaymanCayman Islands11/27/2019
Salterra Asset Management LlcEnglandUnited Kingdom11/28/2019

Funds withdrawing registrations was significantly higher in November, with a total of 50 managers handing back their regulatory status. The same applies for closed managers, a particular manager may have elected to close a specific local entity and may still be actively trading. 39 of the 50 managers were located in the US.

NameStateCountryDate
Refcofund Holdings LlcNew YorkUnited States11/17/2019
Refco Commodity Management IncNew YorkUnited States11/17/2019
Northwater Capital Management IncOntarioCanada11/17/2019
ReynoldsNew JerseyUnited States11/17/2019
Professional Market Group LlcCaliforniaUnited States11/17/2019
Habrok Capital Management LlpUnited Kingdom11/17/2019
Devon Group Inc TheMassachusettsUnited States11/17/2019
Sun Asset Management LlcNew YorkUnited States11/17/2019
Southbrook Capital Management LlcCaliforniaUnited States11/17/2019
SingalVirginiaUnited States11/17/2019
Eudoxus Capital LlcMissouriUnited States11/17/2019
Redpoint Capital LlcUtahUnited States11/17/2019
Acuity Investment Management LlcVirginiaUnited States11/17/2019
Three Rock Capital Management LimitedIreland11/17/2019
City Financial Investment Company LimitedUnited Kingdom11/17/2019
Amberstone Capital Management LlcNew JerseyUnited States11/17/2019
Tyndaris LlpUnited Kingdom11/17/2019
36 South Investment Managers Cayman LimitedCayman Islands11/17/2019
Mackay Shields Global Derivatives LlcNew YorkUnited States11/17/2019
Seven Capital LlcIllinoisUnited States11/17/2019
Gapinski Capital Management LlcTexasUnited States11/17/2019
Ifs Securities IncGeorgiaUnited States11/17/2019
Bamboo Trading Company Pty LtdMelbourneAustralia11/17/2019
Theron Administration LlcDelawareUnited States11/17/2019
Woodmont Capital Advisors LlcVirginiaUnited States11/17/2019
Iq Capital Strategy LlcSouth CarolinaUnited States11/17/2019
Shah Management LlcMarylandUnited States11/17/2019
Clockwork Group Asset Management LlcFloridaUnited States11/17/2019
Claret Asset Management CorporationQuebecCanada11/17/2019
Matmac Financial Group LlcMississippiUnited States11/17/2019
Avron Peak LlcMichiganUnited States11/17/2019
Salient Capital Advisors LlcTexasUnited States11/19/2019
GavlickConnecticutUnited States11/19/2019
Narayana SwamyCaliforniaUnited States11/20/2019
Vitax Partners LlcFloridaUnited States11/20/2019
Hsbc Global Asset Management FranceFrance11/22/2019
Aire Capital Management LlcTennesseeUnited States11/23/2019
Zenith Resources IncTexasUnited States11/26/2019
Broadcap Global Management LlcNew YorkUnited States11/26/2019
Cohesion Capital LlcRhode IslandUnited States11/26/2019
Alva Capital Management LlcNew YorkUnited States11/26/2019
Xebec Investment Advisors LlcCaliforniaUnited States11/26/2019
Pacific Global Wealth Group LimitedLondonUnited Kingdom11/26/2019
Energy Analytics Group LlcFloridaUnited States11/28/2019
Trajectoire Capital Group LlcSwitzerland11/28/2019
Steven G Newcom LlcFloridaUnited States11/30/2019
Blenheim Natural Resources Management LlcNew JerseyUnited States11/30/2019
Tftc Capital Management LlcFloridaUnited States11/30/2019
Yin Yang Capital LlcCaliforniaUnited States11/30/2019
Dale Investment Management LlcFloridaUnited States11/30/2019