Assets under management Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total AUM
Total Accounts
10Y AUM Change
Private Funds
Private funds reported by Balyasny Asset Management L.P.
Loading private fund disclosures…
Employee Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total Employees
Clients per Employee
10Y Employee Change
Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.
Ownership
Reported direct and indirect ownership ranges
Each range applies to a separate reported relationship and should not be added together.
Reported ownership ranges
Highlighted bands show the percentage range reported in Form ADV.
0%25%50%75%100%
BALYASNY ASSET MANAGEMENT HOLDINGS LPDirect owner · Schedule AInterest in BALYASNY ASSET MANAGEMENT L.P.
75%+
DMITRY BALYASNYDirect owner · Schedule AInterest in BALYASNY ASSET MANAGEMENT L.P.
< 5%
TAYLOR JOHN O'MALLEYDirect owner · Schedule AInterest in BALYASNY ASSET MANAGEMENT L.P.
< 5%
SCOTT HARVEY SCHROEDERDirect owner · Schedule AInterest in BALYASNY ASSET MANAGEMENT L.P.
< 5%
BAM GP LLCDirect owner · Schedule AInterest in BALYASNY ASSET MANAGEMENT L.P.
< 5%
BALYASNY ASSET MANAGEMENT HOLDINGS LPIndirect owner · Schedule BInterest in BAM GP LLC
75%+
DMITRY BALYASNYIndirect owner · Schedule BInterest in DAMES GP LLC
75%+
DMITRY BALYASNYIndirect owner · Schedule BInterest in BALYASNY ASSET MANAGEMENT HOLDINGS LP
50% to < 75%
Bars represent the reported range at that individual ownership step, not an estimated percentage of the advisory firm. Indirect relationships may refer to intermediate entities rather than directly to Balyasny Asset Management L.P..
Reported ownership and control details
Form ADV · Filing date 2026-06-30 · Schedules A and B
| # | Owner / person & role | Interest in entity | Reported interest | Control person | Title / status acquired | Source |
|---|---|---|---|---|---|---|
| 1 | DMITRY BALYASNYCHIEF INVESTMENT OFFICER, MANAGING PARTNERIndividual | BALYASNY ASSET MANAGEMENT L.P. | Less than 5%Code NA | Yes | CHIEF INVESTMENT OFFICER, MANAGING PARTNER12/2001 | Schedule APDF page 313 |
| 2 | TAYLOR JOHN O'MALLEYMANAGING PARTNERIndividual | BALYASNY ASSET MANAGEMENT L.P. | Less than 5%Code NA | Yes | MANAGING PARTNER01/2002 | Schedule APDF page 313 |
| 3 | SCOTT HARVEY SCHROEDERMANAGING PARTNERIndividual | BALYASNY ASSET MANAGEMENT L.P. | Less than 5%Code NA | Yes | MANAGING PARTNER01/2002 | Schedule APDF page 313 |
| 4 | MATTHEW JOSEPH SICLARIGENERAL COUNSELIndividual | BALYASNY ASSET MANAGEMENT L.P. | Less than 5%Code NA | Yes | GENERAL COUNSEL05/2010 | Schedule APDF page 313 |
| 5 | BAM GP LLCGENERAL PARTNERDomestic entity | BALYASNY ASSET MANAGEMENT L.P. | Less than 5%Code NA | Yes | GENERAL PARTNER07/2020 | Schedule APDF page 313 |
| 6 | BALYASNY ASSET MANAGEMENT HOLDINGS LPLIMITED PARTNERDomestic entity | BALYASNY ASSET MANAGEMENT L.P. | 75% or moreCode E | Yes | LIMITED PARTNER07/2020 | Schedule APDF page 313 |
| 7 | JOSEPH (NMN) LANZILLOTTICHIEF FINANCIAL OFFICERIndividual | BALYASNY ASSET MANAGEMENT L.P. | Less than 5%Code NA | Yes | CHIEF FINANCIAL OFFICER09/2023 | Schedule APDF page 313 |
| 8 | MARK ANDREW POLEMENICHIEF COMPLIANCE OFFICER, SENIOR DEPUTY GENERAL COUNSELIndividual | BALYASNY ASSET MANAGEMENT L.P. | Less than 5%Code NA | Yes | CHIEF COMPLIANCE OFFICER, SENIOR DEPUTY GENERAL COUNSEL10/2025 | Schedule APDF page 313 |
| 9 | KEVIN GERARD BYRNECHIEF OPERATING OFFICERIndividual | BALYASNY ASSET MANAGEMENT L.P. | Less than 5%Code NA | Yes | CHIEF OPERATING OFFICER06/2025 | Schedule APDF page 313 |
| 10 | DMITRY BALYASNYLIMITED PARTNERIndividual | BALYASNY ASSET MANAGEMENT HOLDINGS LP | 50% to less than 75%Code D | Yes | LIMITED PARTNER07/2020 | Schedule BPDF page 314 |
| 11 | BALYASNY ASSET MANAGEMENT HOLDINGS LPMEMBERDomestic entity | BAM GP LLC | 75% or moreCode E | Yes | MEMBER07/2020 | Schedule BPDF page 314 |
| 12 | DAMES GP LLCGENERAL PARTNERDomestic entity | BALYASNY ASSET MANAGEMENT HOLDINGS LP | Percentage not specifiedCode F | Yes | GENERAL PARTNER07/2020 | Schedule BPDF page 314 |
| 13 | DMITRY BALYASNYMANAGING MEMBERIndividual | DAMES GP LLC | 75% or moreCode E | Yes | MANAGING MEMBER12/2003 | Schedule BPDF page 314 |
Less than 5% may include zero. Code F identifies a role without specifying a percentage. Reported interests may overlap and may not include every owner. Total indirect ownership is not calculated.
Compliance & Disclosures
Filing dated 6/30/2026 11:16:53 AM
Responses were selected by the RIA in its filing. Questions are shortened for readability; “you” refers to the reporting firm, and some questions also cover advisory affiliates.
RIA or supervised-person involvementThe RIA reported that one or more events below involve the firm or its supervised persons.RIA responseYes
AFelonies2 No
In the past ten years, have you or any advisory affiliate:
- A1Been convicted of or pleaded guilty or no contest to a felony?No
- A2Been charged with a felony?No
BMisdemeanors2 No
In the past ten years, have you or any advisory affiliate:
- B1Been convicted of or pleaded guilty or no contest to a misdemeanor involving investments, an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, or extortion?No
- B2Been charged with a misdemeanor of the kind listed above?No
CSEC or CFTC actions5 No
Has the SEC or CFTC ever:
- C1Found you or an advisory affiliate made a false statement or omission?No
- C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?No
- C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- C4Entered an order against you or an advisory affiliate in connection with investment-related activity?No
- C5Imposed a civil money penalty on you or an advisory affiliate, or ordered you or an advisory affiliate to cease and desist from any activity?No
DOther regulatory actions1 Yes4 No
Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority ever:
- D1Found you or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?No
- D2Found you or an advisory affiliate violated investment-related regulations or statutes?Yes
- D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?No
- D5Denied, suspended, or revoked your or an advisory affiliate’s registration or license, or otherwise prevented association with an investment-related business or restricted activities?No
ESelf-regulatory organization actions4 No
Has a self-regulatory organization or commodities exchange ever:
- E1Found you or an advisory affiliate made a false statement or omission?No
- E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?No
- E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?No
FProfessional authorizations1 No
- FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?No
GPending regulatory proceedings1 No
- GAre you or any advisory affiliate now the subject of a regulatory proceeding that could result in a “Yes” answer to any part of C, D, or E?No
HCivil judicial actions and proceedings4 No
(1) Court actions
Has a domestic or foreign court:
- H(1)(a)In the past ten years, enjoined you or an advisory affiliate in connection with investment-related activity?No
- H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?No
- H(1)(c)Dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or an advisory affiliate by a state or foreign financial regulatory authority?No
(2) Pending civil proceedings
- H(2)Are you or any advisory affiliate now the subject of a civil proceeding that could result in a “Yes” answer to any part of H(1)?No
Additional DRP filings 3 source blocks
Verbatim excerpts from supporting DRP filings, which may concern the firm or advisory affiliates. Amounts retain their filed labels; no total or attribution is inferred.
regulatory · block 1ATLAS ENHANCED FUND, L.P.PDF pages 375–377
- Advisory affiliate name — filed text
- ATLAS ENHANCED FUND, L.P.
- Regulator name — filed text
- STATE OF NEW HAMPSHIRE, DEPARTMENT OF STATE BUREAU OF SECURITIES REGULATION
- Monetary/Fine Amount — filed text
- $ 2,500.00
- How was matter resolved — filed text
- Settled
Action status / disposition — filed text
ATLAS ENHANCED FUND, L.P. MADE A LATE SUBMISSION OF THE NOTICE FILING FOR ITS FIRST SALE OF SECURITIES IN THE STATE OF NEW HAMPSHIRE.
Other filed details
Description of allegations — filed text
ATLAS ENHANCED FUND, L.P. MADE A LATE SUBMISSION OF THE NOTICE FILING FOR ITS FIRST SALE OF SECURITIES IN THE STATE OF NEW HAMPSHIRE.
Sanction detail — filed text
THE TOTAL SETTLEMENT AMOUNT OF $2,500.00 WAS LEVIED AGAINST THE ADVISORY AFFILIATE (ATLAS ENHANCED FUND, L.P.). THE SETTLEMENT AMOUNT WAS PAID ON JULY 17, 2019.
Full extracted filing text
Includes form instructions and options. Options shown in this text do not identify which boxes were selected.
GENERAL INSTRUCTIONS This Disclosure Reporting Page (DRP ADV) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 11.C., 11.D., 11.E., 11.F. or 11.G. of Form ADV. Regulatory Action Check item(s) being responded to: 11.C(1) 11.C(2) 11.C(3) 11.C(4) 11.C(5) 11.D(1) 11.D(2) 11.D(3) 11.D(4) 11.D(5) 11.E(1) 11.E(2) 11.E(3) 11.E(4) 11.F. 11.G. Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page. One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP. PART I A. The person(s) or entity(ies) for whom this DRP is being filed is (are): You (the advisory firm) You and one or more of your advisory affiliates One or more of your advisory affiliates If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box. ADV DRP - ADVISORY AFFILIATE CRD Number: This advisory affiliate is a Firm an Individual Registered: Yes No Name: ATLAS ENHANCED FUND, L.P. (For individuals, Last, First, Middle) This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser. This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the adviser's or advisory affiliate's favor. If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item 11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any event listed in Item 11 that occurred more than ten years ago. This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the circumstances: B. If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided. Yes No NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records. PART II 1. Regulatory Action initiated by: SEC Other Federal State SRO Foreign (Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) STATE OF NEW HAMPSHIRE, DEPARTMENT OF STATE BUREAU OF SECURITIES REGULATION 2. Principal Sanction: Civil and Administrative Penalt(ies) /Fine(s) Other Sanctions: 3. Date Initiated (MM/DD/YYYY): 05/17/2019 Exact Explanation If not exact, provide explanation: 4. Docket/Case Number: I-2019000013 5. Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable): 6. Principal Product Type: Other Other Product Types: PRIVATE FUNDS 7. Describe the allegations related to this regulatory action (your response must fit within the space provided): ATLAS ENHANCED FUND, L.P. MADE A LATE SUBMISSION OF THE NOTICE FILING FOR ITS FIRST SALE OF SECURITIES IN THE STATE OF NEW HAMPSHIRE. 8. Current Status? Pending On Appeal Final 9. If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed: If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only. 10. How was matter resolved: Settled 11. Resolution Date (MM/DD/YYYY): 07/17/2019 Exact Explanation If not exact, provide explanation: 12. Resolution Detail: A. Were any of the following Sanctions Ordered (check all appropriate items)? Monetary/Fine Amount: $ 2,500.00 Revocation/Expulsion/Denial Disgorgement/Restitution Censure Cease and Desist/Injunction Bar Suspension B. Other Sanctions Ordered: Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion of penalty was waived: THE TOTAL SETTLEMENT AMOUNT OF $2,500.00 WAS LEVIED AGAINST THE ADVISORY AFFILIATE (ATLAS ENHANCED FUND, L.P.). THE SETTLEMENT AMOUNT WAS PAID ON JULY 17, 2019. 13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response must fit within the space provided). ATLAS ENHANCED FUND, L.P. MADE A LATE SUBMISSION OF THE NOTICE FILING FOR ITS FIRST SALE OF SECURITIES IN THE STATE OF NEW HAMPSHIRE.
regulatory · block 2BALYASNY EUROPE ASSET MANAGEMENT LLPPDF pages 377–379
- Advisory affiliate name — filed text
- BALYASNY EUROPE ASSET MANAGEMENT LLP
- Regulator name — filed text
- FINANSINSPEKTIONEN - SWEDISH FINANCIAL SUPERVISORY AUTHORITY ("SFSA")
- Monetary/Fine Amount — filed text
- $ 15,416.00
- How was matter resolved — filed text
- Decision
Action status / disposition — filed text
SFSA DETERMINED THAT BEAM MADE A LATE NET SHORT POSITION NOTIFICATION TO THE SFSA. BEAM APPEALED THE DECISION. HOWEVER, THE APPEAL WAS UNSUCCESSFUL. THE APPEAL WAS DECIDED ON 06 SEPTEMBER 2019; HOWEVER, BEAM WAS NOT NOTIFIED OF THE DECISION. AS A RESULT, THE MATTER WAS NOT CONCLUDED UNTIL SUCH TIME BEAM WAS MADE AWARE OF THE FINAL DECISION.
Other filed details
Description of allegations — filed text
BALYASNY EUROPE ASSET MANAGEMENT LLP ("BEAM")MADE A LATE SUBMISSION OF A NET SHORT FILING NOTIFICATION TO THE SWEDISH REGULATOR SFSA.
Sanction detail — filed text
THE TOTAL SETTLEMENT AMOUNT OF $15,416 WAS LEVIED AGAINST THE RELYING ADVISOR BALYASNY EUROPE ASSET MANAGEMENT LLP. THE SETTLEMENT AMOUNT WAS PAID ON NOVEMBER 5, 2020.
Full extracted filing text
Includes form instructions and options. Options shown in this text do not identify which boxes were selected.
GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page.
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A. The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name).
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
This advisory affiliate is
a Firm
an Individual
Registered:
Yes
No
Name:
BALYASNY EUROPE ASSET
MANAGEMENT LLP
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances:
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
Yes
No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1. Regulatory Action initiated by:
SEC
Other Federal
State
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO)
FINANSINSPEKTIONEN - SWEDISH FINANCIAL SUPERVISORY AUTHORITY ("SFSA")
2.
Principal Sanction:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanctions:
3.
Date Initiated (MM/DD/YYYY):
12/10/2018
Exact
Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
FI DNR 17-142
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
Equity Listed (Common & Preferred Stock)
Other Product Types:
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
BALYASNY EUROPE ASSET MANAGEMENT LLP ("BEAM")MADE A LATE SUBMISSION OF A NET SHORT FILING NOTIFICATION TO THE SWEDISH REGULATOR
SFSA.
8.
Current Status?
Pending
On Appeal
Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Decision
11. Resolution Date (MM/DD/YYYY):
09/06/2019
Exact
Explanation
If not exact, provide explanation:
12. Resolution Detail:
A. Were any of the following Sanctions Ordered (check all appropriate items)?
Monetary/Fine Amount: $ 15,416.00
Revocation/Expulsion/Denial
Disgorgement/Restitution
Censure
Cease and Desist/Injunction
Bar
Suspension
B.
Other Sanctions Ordered:
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived:
THE TOTAL SETTLEMENT AMOUNT OF $15,416 WAS LEVIED AGAINST THE RELYING ADVISOR BALYASNY EUROPE ASSET MANAGEMENT LLP. THE
SETTLEMENT AMOUNT WAS PAID ON NOVEMBER 5, 2020.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
SFSA DETERMINED THAT BEAM MADE A LATE NET SHORT POSITION NOTIFICATION TO THE SFSA. BEAM APPEALED THE DECISION. HOWEVER, THE
APPEAL WAS UNSUCCESSFUL. THE APPEAL WAS DECIDED ON 06 SEPTEMBER 2019; HOWEVER, BEAM WAS NOT NOTIFIED OF THE DECISION. AS A
RESULT, THE MATTER WAS NOT CONCLUDED UNTIL SUCH TIME BEAM WAS MADE AWARE OF THE FINAL DECISION.regulatory · block 3ATLAS NG, LLCPDF pages 379–381
- Advisory affiliate name — filed text
- ATLAS NG, LLC
- Regulator name — filed text
- ICE NGX CANADA INC.
- Monetary/Fine Amount — filed text
- $ 1,000.00
- How was matter resolved — filed text
- Other
Action status / disposition — filed text
ATLAS NG LLC SUBMITTED AN INVOICE PAYMENT ONE DAY LATE TO ICE NGX CANADA INC.. A SUMMARY SANCTION OF ONE THOUSAND ($1,000) CANADIAN DOLLARS WAS LEVIED AGAINST ATLAS NG LLC. THE SANCTION WAS PAID ON APRIL 11, 2024.
Other filed details
Description of allegations — filed text
ATLAS NG LLC SUBMITTED AN INVOICE PAYMENT ONE DAY LATE TO ICE NGX CANADA INC.
Sanction detail — filed text
A SUMMARY SANCTION OF ONE THOUSAND ($1,000) CANADIAN DOLLARS WAS LEVIED AGAINST ATLAS NG LLC. THE SANCTION WAS PAID ON APRIL 11, 2024.
Full extracted filing text
Includes form instructions and options. Options shown in this text do not identify which boxes were selected.
GENERAL INSTRUCTIONS This Disclosure Reporting Page (DRP ADV) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 11.C., 11.D., 11.E., 11.F. or 11.G. of Form ADV. Regulatory Action Check item(s) being responded to: 11.C(1) 11.C(2) 11.C(3) 11.C(4) 11.C(5) 11.D(1) 11.D(2) 11.D(3) 11.D(4) 11.D(5) 11.E(1) 11.E(2) 11.E(3) 11.E(4) 11.F. 11.G. Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page. One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP. PART I A. The person(s) or entity(ies) for whom this DRP is being filed is (are): You (the advisory firm) You and one or more of your advisory affiliates One or more of your advisory affiliates If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box. ADV DRP - ADVISORY AFFILIATE CRD Number: This advisory affiliate is a Firm an Individual Registered: Yes No Name: ATLAS NG, LLC (For individuals, Last, First, Middle) This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser. This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the adviser's or advisory affiliate's favor. If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item 11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any event listed in Item 11 that occurred more than ten years ago. This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the circumstances: B. If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided. Yes No NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records. PART II 1. Regulatory Action initiated by: SEC Other Federal State SRO Foreign (Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) ICE NGX CANADA INC. 2. Principal Sanction: Civil and Administrative Penalt(ies) /Fine(s) Other Sanctions: 3. Date Initiated (MM/DD/YYYY): 04/05/2024 Exact Explanation If not exact, provide explanation: 4. Docket/Case Number: N/A 5. Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable): 6. Principal Product Type: Futures - Commodity Other Product Types: 7. Describe the allegations related to this regulatory action (your response must fit within the space provided): ATLAS NG LLC SUBMITTED AN INVOICE PAYMENT ONE DAY LATE TO ICE NGX CANADA INC. 8. Current Status? Pending On Appeal Final 9. If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed: If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only. 10. How was matter resolved: Other 11. Resolution Date (MM/DD/YYYY): 04/05/2024 Exact Explanation If not exact, provide explanation: 12. Resolution Detail: A. Were any of the following Sanctions Ordered (check all appropriate items)? Monetary/Fine Amount: $ 1,000.00 Revocation/Expulsion/Denial Disgorgement/Restitution Censure Cease and Desist/Injunction Bar Suspension B. Other Sanctions Ordered: Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion of penalty was waived: A SUMMARY SANCTION OF ONE THOUSAND ($1,000) CANADIAN DOLLARS WAS LEVIED AGAINST ATLAS NG LLC. THE SANCTION WAS PAID ON APRIL 11, 2024. 13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response must fit within the space provided). ATLAS NG LLC SUBMITTED AN INVOICE PAYMENT ONE DAY LATE TO ICE NGX CANADA INC.. A SUMMARY SANCTION OF ONE THOUSAND ($1,000) CANADIAN DOLLARS WAS LEVIED AGAINST ATLAS NG LLC. THE SANCTION WAS PAID ON APRIL 11, 2024.
* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.