{"url":"https://nivawealth.com/firms/paloma-partners-management-138460","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/138460","regulatoryAum":30288572376,"crd":"138460","secFileNumber":"801-72796","legalName":"Paloma Partners Management Company","displayName":"Paloma Partners Management","website":"https://www.paloma.com","linkedinUrl":"https://www.linkedin.com/company/paloma-partners-management-company","founded":null,"organization":"Delaware corporation","fiscalYearEnd":"December","headquarters":{"street":"2 American Lane","city":"Greenwich","state":"CT","stateName":"Connecticut","country":"United States","postalCode":"06836-2571"},"tradeNames":[],"registration":{"secApproved":"17 October 2011","noticeFilings":2,"latestNoticeFiling":"30 March 2026","inventory":{"sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_FIRM_SEC_Feed_10_15_2026.xml.gz","sourceAsOf":"2026-10-15","retrievedAt":"2026-10-16T03:16:53.781384+00:00","noticeFilings":[{"status":"Notice Filed","jurisdiction":"Connecticut","effectiveDate":"2012-04-13"},{"status":"Notice Filed","jurisdiction":"Florida","effectiveDate":"2026-03-30"}],"registrationStatus":[{"status":"Approved","jurisdiction":"SEC","effectiveDate":"2011-10-17"}]}},"staff":{"employees":64,"advisory":30,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"discretionary":30288572376,"discretionaryAccounts":3,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":67,"nonAumClients":0},"clientTypes":[{"label":"Pooled investment vehicles","clients":3,"regulatoryAum":30288572376}],"fees":[],"feeNotes":[],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[],"custodyNote":"Paloma Partners Management has custody of $1.13B for 3 clients.","otherCustodians":[],"leadership":[{"name":"Ravi Singh","title":"Chief Executive Officer","crd":"2308409"},{"name":"Pei NG","title":"Chief Financial Officer","crd":"8022708"},{"name":"Michael Deaddio","title":"Chief Operating Officer","crd":"4467158"},{"name":"David Friedman","title":"General Counsel and Chief Compliance Officer","crd":"3252066"},{"name":"Grant Rippetoe","title":"Chief Risk Officer","crd":"2561937"},{"name":"Selwyn Sussman","title":"Director, Chairman, and CIO","crd":"1937999"}],"ownership":[{"label":"Selwyn Sussman","detail":"Director, chairman, and cio in the 75% or more ownership band and a control person, since September 2011."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":3,"privateResidences":0},"listedOfficeAddresses":4,"foreignOffices":[],"officesByState":[{"state":"Connecticut","offices":2,"addresses":[{"street":"2 American Lane","city":"Greenwich","headquarters":true},{"street":"750 E Main Street","city":"Stamford"}]},{"state":"Florida","offices":1,"addresses":[{"street":"1111 Lincoln Road","city":"Miami Beach"}]},{"state":"New York","offices":1,"addresses":[{"street":"300 Park Avenue","city":"New York"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"203-862-8000","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["Other"],"activities":["Portfolio management for pooled investment vehicles (other than investment companies)"],"financialPlanningClients":null,"assetMix":[],"privateFunds":4},"sources":{"adv1FilingDate":"20 May 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/138460/PDF/138460.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Paloma Partners Management have?","answer":"Paloma Partners Management has 3 clients and manages $30.3 billion for them, as of May 2026.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 20 May 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Paloma Partners Management offer?","answer":"Paloma Partners Management provides portfolio management for pooled vehicles.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How many financial advisors does Paloma Partners Management have?","answer":"Paloma Partners Management has 0 investment adviser representatives registered with state securities authorities, out of 64 employees, and 30 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Paloma Partners Management?","answer":"Paloma Partners Management’s direct owner is Selwyn Sussman (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 20 May 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Paloma Partners Management get paid?","answer":"Paloma Partners Management is paid through other arrangements. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":{"url":"https://nivawealth.com/firms/paloma-partners-management-138460/holdings","form":"13F-HR","periodOfReport":"2026-06-30","filedOn":"2026-08-14","filingIndexUrl":"https://www.sec.gov/Archives/edgar/data/1103882/000110388226000005/0001103882-26-000005-index.html","totalValue":1363772854,"positionCount":28,"top10Share":0.9147583216229643,"top10":[{"issuer":"STATE STR SPDR S&P 500 ETF T","titleOfClass":"TR UNIT","cusip":"78462F103","value":539541325,"shares":722500,"shareType":"SH","putCall":"Put"},{"issuer":"BITDEER TECHNOLOGIES GROUP","titleOfClass":"CL A ORD SHS","cusip":"G11448100","value":250349250,"shares":15775000,"shareType":"SH","putCall":"Call","priorValue":41526920,"priorShares":4800800},{"issuer":"GUARDANT HEALTH INC","titleOfClass":"DEBT  1.250% 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from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}