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 lp | New York | United States | 11/2/2019 |
Transatlantic Investment Partners Llc | California | United States | 11/2/2019 |
Hedge Point Financial Llc | California | United States | 11/5/2019 |
Glance Financial Advisors Llc | Michigan | United States | 11/5/2019 |
Ironwall Capital Management Llp | London City | United Kingdom | 11/6/2019 |
Stopka | Illinois | United States | 11/12/2019 |
Hambledon Inc | Grand Cayman | Cayman Islands | 11/15/2019 |
Eisler Capital Uk Ltd | United Kingdom | 11/15/2019 | |
Sterling Capital Management Llc | Colorado | United States | 11/15/2019 |
Taormina | Florida | United States | 11/15/2019 |
Jscm Limited | United Kingdom | 11/20/2019 | |
T Rowe Price Advisory Services Inc | Maryland | United States | 11/22/2019 |
Cirera Capital Limited | United Kingdom | 11/26/2019 | |
Abaci Cp Advisors Llc | North Carolina | United States | 11/27/2019 |
Alpstone Capital Suisse sa | Switzerland | 11/27/2019 | |
Bbshares Capital Management Limited | Grand Cayman | Cayman Islands | 11/27/2019 |
Salterra Asset Management Llc | England | United Kingdom | 11/28/2019 |
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.

Name | State | Country | Date |
---|---|---|---|
Refcofund Holdings Llc | New York | United States | 11/17/2019 |
Refco Commodity Management Inc | New York | United States | 11/17/2019 |
Northwater Capital Management Inc | Ontario | Canada | 11/17/2019 |
Reynolds | New Jersey | United States | 11/17/2019 |
Professional Market Group Llc | California | United States | 11/17/2019 |
Habrok Capital Management Llp | United Kingdom | 11/17/2019 | |
Devon Group Inc The | Massachusetts | United States | 11/17/2019 |
Sun Asset Management Llc | New York | United States | 11/17/2019 |
Southbrook Capital Management Llc | California | United States | 11/17/2019 |
Singal | Virginia | United States | 11/17/2019 |
Eudoxus Capital Llc | Missouri | United States | 11/17/2019 |
Redpoint Capital Llc | Utah | United States | 11/17/2019 |
Acuity Investment Management Llc | Virginia | United States | 11/17/2019 |
Three Rock Capital Management Limited | Ireland | 11/17/2019 | |
City Financial Investment Company Limited | United Kingdom | 11/17/2019 | |
Amberstone Capital Management Llc | New Jersey | United States | 11/17/2019 |
Tyndaris Llp | United Kingdom | 11/17/2019 | |
36 South Investment Managers Cayman Limited | Cayman Islands | 11/17/2019 | |
Mackay Shields Global Derivatives Llc | New York | United States | 11/17/2019 |
Seven Capital Llc | Illinois | United States | 11/17/2019 |
Gapinski Capital Management Llc | Texas | United States | 11/17/2019 |
Ifs Securities Inc | Georgia | United States | 11/17/2019 |
Bamboo Trading Company Pty Ltd | Melbourne | Australia | 11/17/2019 |
Theron Administration Llc | Delaware | United States | 11/17/2019 |
Woodmont Capital Advisors Llc | Virginia | United States | 11/17/2019 |
Iq Capital Strategy Llc | South Carolina | United States | 11/17/2019 |
Shah Management Llc | Maryland | United States | 11/17/2019 |
Clockwork Group Asset Management Llc | Florida | United States | 11/17/2019 |
Claret Asset Management Corporation | Quebec | Canada | 11/17/2019 |
Matmac Financial Group Llc | Mississippi | United States | 11/17/2019 |
Avron Peak Llc | Michigan | United States | 11/17/2019 |
Salient Capital Advisors Llc | Texas | United States | 11/19/2019 |
Gavlick | Connecticut | United States | 11/19/2019 |
Narayana Swamy | California | United States | 11/20/2019 |
Vitax Partners Llc | Florida | United States | 11/20/2019 |
Hsbc Global Asset Management France | France | 11/22/2019 | |
Aire Capital Management Llc | Tennessee | United States | 11/23/2019 |
Zenith Resources Inc | Texas | United States | 11/26/2019 |
Broadcap Global Management Llc | New York | United States | 11/26/2019 |
Cohesion Capital Llc | Rhode Island | United States | 11/26/2019 |
Alva Capital Management Llc | New York | United States | 11/26/2019 |
Xebec Investment Advisors Llc | California | United States | 11/26/2019 |
Pacific Global Wealth Group Limited | London | United Kingdom | 11/26/2019 |
Energy Analytics Group Llc | Florida | United States | 11/28/2019 |
Trajectoire Capital Group Llc | Switzerland | 11/28/2019 | |
Steven G Newcom Llc | Florida | United States | 11/30/2019 |
Blenheim Natural Resources Management Llc | New Jersey | United States | 11/30/2019 |
Tftc Capital Management Llc | Florida | United States | 11/30/2019 |
Yin Yang Capital Llc | California | United States | 11/30/2019 |
Dale Investment Management Llc | Florida | United States | 11/30/2019 |