Issuers in this group
Why each issuer is here is stated in the "Linked by" column. Low-confidence links are never shown — they wait for human review.
| Source | Issuer | Linked by | Location | Industry | Filings | Sold (max) | Investors | Min. investment (latest filing) | Active |
|---|
| EDGAR ↗ | LA LMR ALPHA RATES TRADING FUND Ltd | shared people, shared principal (person on 60+ issuers) at the same address or management entity, shared management entity | GRAND CAYMAN, Cayman Islands (as filed: E9) | Pooled Investment Fund | 15 | $1,451,080,501 offering Indefinite · similar: $155,000–$5,250,000 | 80 similar: 4–27 | $100,000 similar: $1,000–$100,000 | 2012–2026 |
| EDGAR ↗ | LM LMR Multi-Strategy Fund Ltd. | shared people, shared principal (person on 60+ issuers) at the same address or management entity, shared management entity, similar issuer names | GRAND CAYMAN, Cayman Islands (as filed: E9) | Pooled Investment Fund | 15 | $1,831,507,704 offering Indefinite · similar: $155,000–$5,250,000 | 176 similar: 4–27 | $100,000 similar: $1,000–$100,000 | 2012–2026 |
| EDGAR ↗ | LL LMR LONG HORIZON FUND Ltd | shared people, shared principal (person on 60+ issuers) at the same address or management entity, shared management entity | GRAND CAYMAN, Cayman Islands (as filed: E9) | Pooled Investment Fund | 3 | $10,000,000 offering Indefinite · similar: $155,000–$5,250,000 | 1 similar: 4–27 | $500,000 similar: $1,000–$100,000 | 2018–2020 |
| EDGAR ↗ | LC LMR CCSA Fund Ltd | shared people, shared principal (person on 60+ issuers) at the same address or management entity, shared management entity | GRAND CAYMAN, Cayman Islands (as filed: E9) | Pooled Investment Fund | 5 | $156,739,245 offering Indefinite · similar: $155,000–$5,250,000 | 16 similar: 4–27 | $100,000 similar: $1,000–$100,000 | 2022–2026 |
| EDGAR ↗ | LM LMR Multi-Strategy SPC - LMR Carbon Segregated Portfolio | shared management entity, similar issuer names | GRAND CAYMAN, Cayman Islands (as filed: E9) | Pooled Investment Fund | 1 | $0 offering Indefinite · similar: $155,000–$5,250,000 | 0 similar: 4–27 | $100,000 similar: $1,000–$100,000 | 2026–2026 |
"Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Timeline of offerings
| Source | Filed | Issuer | Form | Industry | Offered | Sold |
|---|
| EDGAR ↗ | Aug 6, 2026 | LMR Multi-Strategy SPC - LMR Carbon Segregated Portfolio | D | Pooled Investment Fund | Indefinite | $0 |
| EDGAR ↗ | Jun 18, 2026 | LMR ALPHA RATES TRADING FUND Ltd | D/A | Pooled Investment Fund | Indefinite | $1,451,080,501 |
| EDGAR ↗ | Feb 6, 2026 | LMR CCSA Fund Ltd | D/A | Pooled Investment Fund | Indefinite | $156,739,245 |
| EDGAR ↗ | Jan 9, 2026 | LMR Multi-Strategy Fund Ltd. | D/A | Pooled Investment Fund | Indefinite | $1,831,507,704 |
| EDGAR ↗ | Jun 20, 2025 | LMR ALPHA RATES TRADING FUND Ltd | D/A | Pooled Investment Fund | Indefinite | $1,438,280,501 |
| EDGAR ↗ | Feb 7, 2025 | LMR CCSA Fund Ltd | D/A | Pooled Investment Fund | Indefinite | $92,439,245 |
| EDGAR ↗ | Jan 10, 2025 | LMR Multi-Strategy Fund Ltd. | D/A | Pooled Investment Fund | Indefinite | $1,608,022,904 |
| EDGAR ↗ | Jun 21, 2024 | LMR ALPHA RATES TRADING FUND Ltd | D/A | Pooled Investment Fund | Indefinite | $1,422,175,501 |
| EDGAR ↗ | Feb 9, 2024 | LMR CCSA Fund Ltd | D/A | Pooled Investment Fund | Indefinite | $92,189,245 |
| EDGAR ↗ | Jan 12, 2024 | LMR Multi-Strategy Fund Ltd. | D/A | Pooled Investment Fund | Indefinite | $1,596,506,964 |
| EDGAR ↗ | Jun 21, 2023 | LMR ALPHA RATES TRADING FUND Ltd | D/A | Pooled Investment Fund | Indefinite | $1,342,689,001 |
| EDGAR ↗ | Feb 10, 2023 | LMR CCSA Fund Ltd | D/A | Pooled Investment Fund | Indefinite | $92,189,245 |
| EDGAR ↗ | Jan 12, 2023 | LMR Multi-Strategy Fund Ltd. | D/A | Pooled Investment Fund | Indefinite | $1,549,291,701 |
| EDGAR ↗ | Jun 21, 2022 | LMR ALPHA RATES TRADING FUND Ltd | D/A | Pooled Investment Fund | Indefinite | $1,255,711,208 |
| EDGAR ↗ | Jun 21, 2022 | LMR Multi-Strategy Fund Ltd. | D/A | Pooled Investment Fund | Indefinite | $1,495,621,701 |
| EDGAR ↗ | Feb 11, 2022 | LMR CCSA Fund Ltd | D/A | Pooled Investment Fund | Indefinite | $88,884,000 |
| EDGAR ↗ | Jun 21, 2021 | LMR ALPHA RATES TRADING FUND Ltd | D/A | Pooled Investment Fund | Indefinite | $1,169,061,208 |
| EDGAR ↗ | Jun 21, 2021 | LMR Multi-Strategy Fund Ltd. | D/A | Pooled Investment Fund | Indefinite | $1,295,745,044 |
| EDGAR ↗ | Jun 19, 2020 | LMR Multi-Strategy Fund Ltd. | D/A | Pooled Investment Fund | Indefinite | $1,168,245,044 |
| EDGAR ↗ | Jun 19, 2020 | LMR ALPHA RATES TRADING FUND Ltd | D/A | Pooled Investment Fund | Indefinite | $1,056,811,208 |
| EDGAR ↗ | Feb 6, 2020 | LMR LONG HORIZON FUND Ltd | D/A | Pooled Investment Fund | Indefinite | $10,000,000 |
| EDGAR ↗ | Jun 19, 2019 | LMR Multi-Strategy Fund Ltd. | D/A | Pooled Investment Fund | Indefinite | $527,857,034 |
| EDGAR ↗ | Jun 19, 2019 | LMR ALPHA RATES TRADING FUND Ltd | D/A | Pooled Investment Fund | Indefinite | $844,042,904 |
| EDGAR ↗ | Feb 6, 2019 | LMR LONG HORIZON FUND Ltd | D/A | Pooled Investment Fund | Indefinite | $10,000,000 |
| EDGAR ↗ | Jun 20, 2018 | LMR ALPHA RATES TRADING FUND Ltd | D/A | Pooled Investment Fund | Indefinite | $725,522,904 |
| EDGAR ↗ | Jun 20, 2018 | LMR Multi-Strategy Fund Ltd. | D/A | Pooled Investment Fund | Indefinite | $425,242,824 |
| EDGAR ↗ | Feb 6, 2018 | LMR LONG HORIZON FUND Ltd | D | Pooled Investment Fund | Indefinite | $10,000,000 |
| EDGAR ↗ | Jun 20, 2017 | LMR ALPHA RATES TRADING FUND Ltd | D/A | Pooled Investment Fund | Indefinite | $490,582,584 |
| EDGAR ↗ | Jun 20, 2017 | LMR Multi-Strategy Fund Ltd. | D/A | Pooled Investment Fund | Indefinite | $245,735,302 |
| EDGAR ↗ | Jun 20, 2016 | LMR Multi-Strategy Fund Ltd. | D/A | Pooled Investment Fund | Indefinite | $181,985,302 |
| EDGAR ↗ | Jun 20, 2016 | LMR ALPHA RATES TRADING FUND Ltd | D/A | Pooled Investment Fund | Indefinite | $436,132,584 |
| EDGAR ↗ | Jun 25, 2015 | LMR ALPHA RATES TRADING FUND Ltd | D/A | Pooled Investment Fund | Indefinite | $19,750,000 |
| EDGAR ↗ | Jun 25, 2015 | LMR Multi-Strategy Fund Ltd. | D/A | Pooled Investment Fund | Indefinite | $115,985,302 |
| EDGAR ↗ | Jun 25, 2014 | LMR ALPHA RATES TRADING FUND Ltd | D/A | Pooled Investment Fund | Indefinite | $19,750,000 |
| EDGAR ↗ | Jun 25, 2014 | LMR Multi-Strategy Fund Ltd. | D/A | Pooled Investment Fund | Indefinite | $115,985,302 |
| EDGAR ↗ | Jun 11, 2013 | LMR ALPHA RATES TRADING FUND Ltd | D/A | Pooled Investment Fund | Indefinite | $19,750,000 |
| EDGAR ↗ | Jun 11, 2013 | LMR Multi-Strategy Fund Ltd. | D/A | Pooled Investment Fund | Indefinite | $31,950,000 |
| EDGAR ↗ | Jun 14, 2012 | LMR ALPHA RATES TRADING FUND Ltd | D | Pooled Investment Fund | Indefinite | $500,000 |
| EDGAR ↗ | Jun 14, 2012 | LMR Multi-Strategy Fund Ltd. | D | Pooled Investment Fund | Indefinite | $32,200,000 |
Activity: 1 new offering in the last 12 months across all issuers in this group (new offering = a Form D that is not an amendment, D/A) · most recent filing Aug 6, 2026. Industry history, as reported on each offering's latest filing: All 5 offerings reported: Pooled Investment Fund (2012–2026).
People across the group
| Name | Roles | Issuers here | First → last listed |
|---|
| LP LMR Partners Limited entity | Executive Officer, Promoter | 5 | Jun 25, 2015 → Aug 6, 2026 |
| LP LMR Partners (Offshore) Ltd. entity | Executive Officer, Promoter | 5 | Jun 25, 2015 → Aug 6, 2026 |
| LP LMR Partners LLP entity | Executive Officer, Promoter | 5 | Jun 25, 2015 → Aug 6, 2026 |
| LP LMR Partners LLC entity | Executive Officer, Promoter | 4 | Jun 20, 2018 → Aug 6, 2026 |
| LP LMR PARTNERS AG entity | Executive Officer, Promoter | 4 | Feb 11, 2022 → Aug 6, 2026 |
| LP LMR Partners (DIFC) Limited entity | Executive Officer, Promoter | 4 | Jan 12, 2023 → Aug 6, 2026 |
| PG Pearse Griffith | Director | 4 | Jun 14, 2012 → Jun 18, 2026 |
| ME Mark Eberle | Director | 4 | Jun 14, 2012 → Jun 18, 2026 |
| LP LMR Partners (Ireland) Limited entity | Executive Officer, Promoter | 3 | Jun 21, 2024 → Aug 6, 2026 |
| BL Benjamin Levine | Director | 3 | Jun 14, 2012 → Jun 21, 2022 |
| DN David Nevin | Director | 2 | Feb 11, 2022 → Feb 6, 2026 |
| TS Torsten de Santos | Director | 2 | Jun 14, 2012 → Jan 9, 2026 |
| DM Daniel Mitchell | Director | 1 | Jun 20, 2016 → Jun 18, 2026 |
| LP LMR Partners (DFIC) Limited entity | Executive Officer, Promoter | 1 | Feb 10, 2023 → Feb 7, 2025 |
| DI Domenico Iuliano | Director | 1 | Jun 20, 2018 → Jun 19, 2020 |
| LA LMR ART (Offshore) Ltd. entity | Executive Officer | 1 | Jun 20, 2018 → Jun 20, 2018 |
| DL Domenico Luliano | Director | 1 | Jun 20, 2016 → Jun 20, 2017 |
Adviser registration (Form ADV)
LMR PARTNERS LLC — SEC-registered investment adviser · SEC registration status as reported: “Approved” since Mar 5, 2018 · SEC file 801-112529 · Main office: NEW YORK, NY · IAPD record ↗ · Form ADV filing (PDF) ↗
Regulatory assets under management: $140,113,905,605 as reported on Form ADV filed Aug 14, 2026 (Item 5.F(2)(c)) · 9 accounts (Item 5.F(2)(f))
Websites listed on Form ADV (Item 1.I): WWW.LMRPARTNERS.COM ↗
Item 11 disclosure questions as answered on Form ADV filed Aug 14, 2026: 1 of 24 answered “Yes”
- No — Form ADV Item 11 asks: “Do any of the events below involve you or any of your supervised persons?”
- Yes (4 disclosures reported) — Form ADV Item 11D(2) asks: “D. (2) ever found you or any advisory affiliate to have been involved in a violation of investment-related regulations or statutes?”
- No — Form ADV Item 11A(1) asks: “A. In the past ten years, have you or any advisory affiliate: (1) been convicted of or pled guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to any felony?”
- No — Form ADV Item 11A(2) asks: “A. (2) been charged with any felony?”
- No — Form ADV Item 11B(1) asks: “B. In the past ten years, have you or any advisory affiliate: (1) been convicted of or pled guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to a misdemeanor involving: investments or an investment-related business, or any fraud, false statements, or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, extortion, or a conspiracy to commit any of these offenses?”
- No — Form ADV Item 11B(2) asks: “B. (2) been charged with a misdemeanor listed in Item 11.B(1)?”
- No — Form ADV Item 11C(1) asks: “C. Has the SEC or the Commodity Futures Trading Commission (CFTC) ever: (1) found you or any advisory affiliate to have made a false statement or omission?”
- No — Form ADV Item 11C(2) asks: “C. (2) found you or any advisory affiliate to have been involved in a violation of SEC or CFTC regulations or statutes?”
- No — Form ADV Item 11C(3) asks: “C. (3) found you or any advisory affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?”
- No — Form ADV Item 11C(4) asks: “C. (4) entered an order against you or any advisory affiliate in connection with investment-related activity?”
- No — Form ADV Item 11C(5) asks: “C. (5) imposed a civil money penalty on you or any advisory affiliate, or ordered you or any advisory affiliate to cease and desist from any activity?”
- No — Form ADV Item 11D(1) asks: “D. Has any other federal regulatory agency, any state regulatory agency, or any foreign financial regulatory authority: (1) ever found you or any advisory affiliate to have made a false statement or omission, or been dishonest, unfair, or unethical?”
- No — Form ADV Item 11D(3) asks: “D. (3) ever found you or any advisory affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?”
- No — Form ADV Item 11D(4) asks: “D. (4) in the past ten years, entered an order against you or any advisory affiliate in connection with an investment-related activity?”
- No — Form ADV Item 11D(5) asks: “D. (5) ever denied, suspended, or revoked your or any advisory affiliate's registration or license, or otherwise prevented you or any advisory affiliate, by order, from associating with an investment-related business or restricted your or any advisory affiliate's activity?”
- No — Form ADV Item 11E(1) asks: “E. Has any self-regulatory organization or commodities exchange ever: (1) found you or any advisory affiliate to have made a false statement or omission?”
- No — Form ADV Item 11E(2) asks: “E. (2) found you or any advisory affiliate to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the SEC)?”
- No — Form ADV Item 11E(3) asks: “E. (3) found you or any advisory affiliate to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?”
- No — Form ADV Item 11E(4) asks: “E. (4) disciplined you or any advisory affiliate by expelling or suspending you or the advisory affiliate from membership, barring or suspending you or the advisory affiliate from association with other members, or otherwise restricting your or the advisory affiliate's activities?”
- No — Form ADV Item 11F asks: “F. Has an authorization to act as an attorney, accountant, or federal contractor granted to you or any advisory affiliate ever been revoked or suspended?”
- No — Form ADV Item 11G asks: “G. Are you or any advisory affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of Item 11.C., 11.D., or 11.E.?”
- No — Form ADV Item 11H(1)(a) asks: “H. (1) Has any domestic or foreign court: (a) in the past ten years, enjoined you or any advisory affiliate in connection with any investment-related activity?”
- No — Form ADV Item 11H(1)(b) asks: “H. (1)(b) ever found that you or any advisory affiliate were involved in a violation of investment-related statutes or regulations?”
- No — Form ADV Item 11H(1)(c) asks: “H. (1)(c) ever dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or any advisory affiliate by a state or foreign financial regulatory authority?”
- No — Form ADV Item 11H(2) asks: “H. (2) Are you or any advisory affiliate now the subject of any civil proceeding that could result in a "yes" answer to any part of Item 11.H(1)?”
Answers as filed by the adviser on Form ADV Part 1A, Item 11; question text quoted from the form. Details of each “Yes” are in the Disclosure Reporting Pages of the Form ADV (PDF) ↗.
Matched on management entity listed on Form D = adviser name, same state (NY), issuer filed in E9 · Form ADV data: SEC Investment Adviser Information Report (SEC-registered advisers), file dated 2026-10-02, loaded Oct 23, 2026, 8:39 PM ET · IAPD record last checked Oct 23, 2026, 8:36 PM ET
LMR PARTNERS (IRELAND) LIMITED — Exempt reporting adviser · SEC registration status as reported: “ERA - Active” since May 3, 2024 · SEC file 802-130415 · Main office: DUBLIN 4, BALLSBRIDGE · IAPD record ↗ · Form ADV filing (PDF) ↗
Regulatory assets under management: Not reported — exempt reporting advisers do not complete Form ADV Item 5.
Websites listed on Form ADV (Item 1.I): WWW.LMRPARTNERS.COM ↗
Item 11 disclosure questions as answered on Form ADV filed May 28, 2026: 1 of 24 answered “Yes”
- No — Form ADV Item 11 asks: “Do any of the events below involve you or any of your supervised persons?”
- Yes (4 disclosures reported) — Form ADV Item 11D(2) asks: “D. (2) ever found you or any advisory affiliate to have been involved in a violation of investment-related regulations or statutes?”
- No — Form ADV Item 11A(1) asks: “A. In the past ten years, have you or any advisory affiliate: (1) been convicted of or pled guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to any felony?”
- No — Form ADV Item 11A(2) asks: “A. (2) been charged with any felony?”
- No — Form ADV Item 11B(1) asks: “B. In the past ten years, have you or any advisory affiliate: (1) been convicted of or pled guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to a misdemeanor involving: investments or an investment-related business, or any fraud, false statements, or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, extortion, or a conspiracy to commit any of these offenses?”
- No — Form ADV Item 11B(2) asks: “B. (2) been charged with a misdemeanor listed in Item 11.B(1)?”
- No — Form ADV Item 11C(1) asks: “C. Has the SEC or the Commodity Futures Trading Commission (CFTC) ever: (1) found you or any advisory affiliate to have made a false statement or omission?”
- No — Form ADV Item 11C(2) asks: “C. (2) found you or any advisory affiliate to have been involved in a violation of SEC or CFTC regulations or statutes?”
- No — Form ADV Item 11C(3) asks: “C. (3) found you or any advisory affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?”
- No — Form ADV Item 11C(4) asks: “C. (4) entered an order against you or any advisory affiliate in connection with investment-related activity?”
- No — Form ADV Item 11C(5) asks: “C. (5) imposed a civil money penalty on you or any advisory affiliate, or ordered you or any advisory affiliate to cease and desist from any activity?”
- No — Form ADV Item 11D(1) asks: “D. Has any other federal regulatory agency, any state regulatory agency, or any foreign financial regulatory authority: (1) ever found you or any advisory affiliate to have made a false statement or omission, or been dishonest, unfair, or unethical?”
- No — Form ADV Item 11D(3) asks: “D. (3) ever found you or any advisory affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?”
- No — Form ADV Item 11D(4) asks: “D. (4) in the past ten years, entered an order against you or any advisory affiliate in connection with an investment-related activity?”
- No — Form ADV Item 11D(5) asks: “D. (5) ever denied, suspended, or revoked your or any advisory affiliate's registration or license, or otherwise prevented you or any advisory affiliate, by order, from associating with an investment-related business or restricted your or any advisory affiliate's activity?”
- No — Form ADV Item 11E(1) asks: “E. Has any self-regulatory organization or commodities exchange ever: (1) found you or any advisory affiliate to have made a false statement or omission?”
- No — Form ADV Item 11E(2) asks: “E. (2) found you or any advisory affiliate to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the SEC)?”
- No — Form ADV Item 11E(3) asks: “E. (3) found you or any advisory affiliate to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?”
- No — Form ADV Item 11E(4) asks: “E. (4) disciplined you or any advisory affiliate by expelling or suspending you or the advisory affiliate from membership, barring or suspending you or the advisory affiliate from association with other members, or otherwise restricting your or the advisory affiliate's activities?”
- No — Form ADV Item 11F asks: “F. Has an authorization to act as an attorney, accountant, or federal contractor granted to you or any advisory affiliate ever been revoked or suspended?”
- No — Form ADV Item 11G asks: “G. Are you or any advisory affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of Item 11.C., 11.D., or 11.E.?”
- No — Form ADV Item 11H(1)(a) asks: “H. (1) Has any domestic or foreign court: (a) in the past ten years, enjoined you or any advisory affiliate in connection with any investment-related activity?”
- No — Form ADV Item 11H(1)(b) asks: “H. (1)(b) ever found that you or any advisory affiliate were involved in a violation of investment-related statutes or regulations?”
- No — Form ADV Item 11H(1)(c) asks: “H. (1)(c) ever dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or any advisory affiliate by a state or foreign financial regulatory authority?”
- No — Form ADV Item 11H(2) asks: “H. (2) Are you or any advisory affiliate now the subject of any civil proceeding that could result in a "yes" answer to any part of Item 11.H(1)?”
Answers as filed by the adviser on Form ADV Part 1A, Item 11; question text quoted from the form. Details of each “Yes” are in the Disclosure Reporting Pages of the Form ADV (PDF) ↗.
Matched on management entity listed on Form D = adviser name, no state to compare, issuer filed in E9 · Form ADV data: SEC Investment Adviser Information Report (exempt reporting advisers), file dated 2026-10-02, loaded Oct 23, 2026, 8:39 PM ET · IAPD record last checked Oct 23, 2026, 8:36 PM ET
LMR PARTNERS AG — Exempt reporting adviser · SEC registration status as reported: “ERA - Active” since Aug 26, 2021 · SEC file 802-122389 · Main office: ZURICH · IAPD record ↗ · Form ADV filing (PDF) ↗
Regulatory assets under management: Not reported — exempt reporting advisers do not complete Form ADV Item 5.
Websites listed on Form ADV (Item 1.I): WWW.LMRPARTNERS.COM ↗
Item 11 disclosure questions as answered on Form ADV filed May 28, 2026: 1 of 24 answered “Yes”
- No — Form ADV Item 11 asks: “Do any of the events below involve you or any of your supervised persons?”
- Yes (4 disclosures reported) — Form ADV Item 11D(2) asks: “D. (2) ever found you or any advisory affiliate to have been involved in a violation of investment-related regulations or statutes?”
- No — Form ADV Item 11A(1) asks: “A. In the past ten years, have you or any advisory affiliate: (1) been convicted of or pled guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to any felony?”
- No — Form ADV Item 11A(2) asks: “A. (2) been charged with any felony?”
- No — Form ADV Item 11B(1) asks: “B. In the past ten years, have you or any advisory affiliate: (1) been convicted of or pled guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to a misdemeanor involving: investments or an investment-related business, or any fraud, false statements, or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, extortion, or a conspiracy to commit any of these offenses?”
- No — Form ADV Item 11B(2) asks: “B. (2) been charged with a misdemeanor listed in Item 11.B(1)?”
- No — Form ADV Item 11C(1) asks: “C. Has the SEC or the Commodity Futures Trading Commission (CFTC) ever: (1) found you or any advisory affiliate to have made a false statement or omission?”
- No — Form ADV Item 11C(2) asks: “C. (2) found you or any advisory affiliate to have been involved in a violation of SEC or CFTC regulations or statutes?”
- No — Form ADV Item 11C(3) asks: “C. (3) found you or any advisory affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?”
- No — Form ADV Item 11C(4) asks: “C. (4) entered an order against you or any advisory affiliate in connection with investment-related activity?”
- No — Form ADV Item 11C(5) asks: “C. (5) imposed a civil money penalty on you or any advisory affiliate, or ordered you or any advisory affiliate to cease and desist from any activity?”
- No — Form ADV Item 11D(1) asks: “D. Has any other federal regulatory agency, any state regulatory agency, or any foreign financial regulatory authority: (1) ever found you or any advisory affiliate to have made a false statement or omission, or been dishonest, unfair, or unethical?”
- No — Form ADV Item 11D(3) asks: “D. (3) ever found you or any advisory affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?”
- No — Form ADV Item 11D(4) asks: “D. (4) in the past ten years, entered an order against you or any advisory affiliate in connection with an investment-related activity?”
- No — Form ADV Item 11D(5) asks: “D. (5) ever denied, suspended, or revoked your or any advisory affiliate's registration or license, or otherwise prevented you or any advisory affiliate, by order, from associating with an investment-related business or restricted your or any advisory affiliate's activity?”
- No — Form ADV Item 11E(1) asks: “E. Has any self-regulatory organization or commodities exchange ever: (1) found you or any advisory affiliate to have made a false statement or omission?”
- No — Form ADV Item 11E(2) asks: “E. (2) found you or any advisory affiliate to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the SEC)?”
- No — Form ADV Item 11E(3) asks: “E. (3) found you or any advisory affiliate to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?”
- No — Form ADV Item 11E(4) asks: “E. (4) disciplined you or any advisory affiliate by expelling or suspending you or the advisory affiliate from membership, barring or suspending you or the advisory affiliate from association with other members, or otherwise restricting your or the advisory affiliate's activities?”
- No — Form ADV Item 11F asks: “F. Has an authorization to act as an attorney, accountant, or federal contractor granted to you or any advisory affiliate ever been revoked or suspended?”
- No — Form ADV Item 11G asks: “G. Are you or any advisory affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of Item 11.C., 11.D., or 11.E.?”
- No — Form ADV Item 11H(1)(a) asks: “H. (1) Has any domestic or foreign court: (a) in the past ten years, enjoined you or any advisory affiliate in connection with any investment-related activity?”
- No — Form ADV Item 11H(1)(b) asks: “H. (1)(b) ever found that you or any advisory affiliate were involved in a violation of investment-related statutes or regulations?”
- No — Form ADV Item 11H(1)(c) asks: “H. (1)(c) ever dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or any advisory affiliate by a state or foreign financial regulatory authority?”
- No — Form ADV Item 11H(2) asks: “H. (2) Are you or any advisory affiliate now the subject of any civil proceeding that could result in a "yes" answer to any part of Item 11.H(1)?”
Answers as filed by the adviser on Form ADV Part 1A, Item 11; question text quoted from the form. Details of each “Yes” are in the Disclosure Reporting Pages of the Form ADV (PDF) ↗.
Matched on management entity listed on Form D = adviser name, no state to compare, issuer filed in E9 · Form ADV data: SEC Investment Adviser Information Report (exempt reporting advisers), file dated 2026-10-02, loaded Oct 23, 2026, 8:39 PM ET · IAPD record last checked Oct 23, 2026, 8:36 PM ET
LMR PARTNERS LLP — Exempt reporting adviser · SEC registration status as reported: “ERA - Active” since Mar 28, 2012 · SEC file 802-75041 · Main office: LONDON · IAPD record ↗ · Form ADV filing (PDF) ↗
Regulatory assets under management: Not reported — exempt reporting advisers do not complete Form ADV Item 5.
Websites listed on Form ADV (Item 1.I): WWW.LINKEDIN.COM/COMPANY/LMR-PARTNERS ↗
Item 11 disclosure questions as answered on Form ADV filed Jun 4, 2026: 1 of 24 answered “Yes”
- No — Form ADV Item 11 asks: “Do any of the events below involve you or any of your supervised persons?”
- Yes (4 disclosures reported) — Form ADV Item 11D(2) asks: “D. (2) ever found you or any advisory affiliate to have been involved in a violation of investment-related regulations or statutes?”
- No — Form ADV Item 11A(1) asks: “A. In the past ten years, have you or any advisory affiliate: (1) been convicted of or pled guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to any felony?”
- No — Form ADV Item 11A(2) asks: “A. (2) been charged with any felony?”
- No — Form ADV Item 11B(1) asks: “B. In the past ten years, have you or any advisory affiliate: (1) been convicted of or pled guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to a misdemeanor involving: investments or an investment-related business, or any fraud, false statements, or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, extortion, or a conspiracy to commit any of these offenses?”
- No — Form ADV Item 11B(2) asks: “B. (2) been charged with a misdemeanor listed in Item 11.B(1)?”
- No — Form ADV Item 11C(1) asks: “C. Has the SEC or the Commodity Futures Trading Commission (CFTC) ever: (1) found you or any advisory affiliate to have made a false statement or omission?”
- No — Form ADV Item 11C(2) asks: “C. (2) found you or any advisory affiliate to have been involved in a violation of SEC or CFTC regulations or statutes?”
- No — Form ADV Item 11C(3) asks: “C. (3) found you or any advisory affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?”
- No — Form ADV Item 11C(4) asks: “C. (4) entered an order against you or any advisory affiliate in connection with investment-related activity?”
- No — Form ADV Item 11C(5) asks: “C. (5) imposed a civil money penalty on you or any advisory affiliate, or ordered you or any advisory affiliate to cease and desist from any activity?”
- No — Form ADV Item 11D(1) asks: “D. Has any other federal regulatory agency, any state regulatory agency, or any foreign financial regulatory authority: (1) ever found you or any advisory affiliate to have made a false statement or omission, or been dishonest, unfair, or unethical?”
- No — Form ADV Item 11D(3) asks: “D. (3) ever found you or any advisory affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?”
- No — Form ADV Item 11D(4) asks: “D. (4) in the past ten years, entered an order against you or any advisory affiliate in connection with an investment-related activity?”
- No — Form ADV Item 11D(5) asks: “D. (5) ever denied, suspended, or revoked your or any advisory affiliate's registration or license, or otherwise prevented you or any advisory affiliate, by order, from associating with an investment-related business or restricted your or any advisory affiliate's activity?”
- No — Form ADV Item 11E(1) asks: “E. Has any self-regulatory organization or commodities exchange ever: (1) found you or any advisory affiliate to have made a false statement or omission?”
- No — Form ADV Item 11E(2) asks: “E. (2) found you or any advisory affiliate to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the SEC)?”
- No — Form ADV Item 11E(3) asks: “E. (3) found you or any advisory affiliate to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?”
- No — Form ADV Item 11E(4) asks: “E. (4) disciplined you or any advisory affiliate by expelling or suspending you or the advisory affiliate from membership, barring or suspending you or the advisory affiliate from association with other members, or otherwise restricting your or the advisory affiliate's activities?”
- No — Form ADV Item 11F asks: “F. Has an authorization to act as an attorney, accountant, or federal contractor granted to you or any advisory affiliate ever been revoked or suspended?”
- No — Form ADV Item 11G asks: “G. Are you or any advisory affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of Item 11.C., 11.D., or 11.E.?”
- No — Form ADV Item 11H(1)(a) asks: “H. (1) Has any domestic or foreign court: (a) in the past ten years, enjoined you or any advisory affiliate in connection with any investment-related activity?”
- No — Form ADV Item 11H(1)(b) asks: “H. (1)(b) ever found that you or any advisory affiliate were involved in a violation of investment-related statutes or regulations?”
- No — Form ADV Item 11H(1)(c) asks: “H. (1)(c) ever dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or any advisory affiliate by a state or foreign financial regulatory authority?”
- No — Form ADV Item 11H(2) asks: “H. (2) Are you or any advisory affiliate now the subject of any civil proceeding that could result in a "yes" answer to any part of Item 11.H(1)?”
Answers as filed by the adviser on Form ADV Part 1A, Item 11; question text quoted from the form. Details of each “Yes” are in the Disclosure Reporting Pages of the Form ADV (PDF) ↗.
Matched on management entity listed on Form D = adviser name, no state to compare, issuer filed in E9 · Form ADV data: SEC Investment Adviser Information Report (exempt reporting advisers), file dated 2026-10-02, loaded Oct 23, 2026, 8:39 PM ET · IAPD record last checked Oct 23, 2026, 8:36 PM ET
LMR PARTNERS (DIFC) LIMITED — Exempt reporting adviser · SEC registration status as reported: “ERA - Active” since Dec 6, 2022 · SEC file 802-127135 · Main office: DUBAI · IAPD record ↗ · Form ADV filing (PDF) ↗
Regulatory assets under management: Not reported — exempt reporting advisers do not complete Form ADV Item 5.
Websites listed on Form ADV (Item 1.I): WWW.LMRPARTNERS.COM ↗
Item 11 disclosure questions as answered on Form ADV filed Aug 20, 2026: 1 of 24 answered “Yes”
- No — Form ADV Item 11 asks: “Do any of the events below involve you or any of your supervised persons?”
- Yes (4 disclosures reported) — Form ADV Item 11D(2) asks: “D. (2) ever found you or any advisory affiliate to have been involved in a violation of investment-related regulations or statutes?”
- No — Form ADV Item 11A(1) asks: “A. In the past ten years, have you or any advisory affiliate: (1) been convicted of or pled guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to any felony?”
- No — Form ADV Item 11A(2) asks: “A. (2) been charged with any felony?”
- No — Form ADV Item 11B(1) asks: “B. In the past ten years, have you or any advisory affiliate: (1) been convicted of or pled guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to a misdemeanor involving: investments or an investment-related business, or any fraud, false statements, or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, extortion, or a conspiracy to commit any of these offenses?”
- No — Form ADV Item 11B(2) asks: “B. (2) been charged with a misdemeanor listed in Item 11.B(1)?”
- No — Form ADV Item 11C(1) asks: “C. Has the SEC or the Commodity Futures Trading Commission (CFTC) ever: (1) found you or any advisory affiliate to have made a false statement or omission?”
- No — Form ADV Item 11C(2) asks: “C. (2) found you or any advisory affiliate to have been involved in a violation of SEC or CFTC regulations or statutes?”
- No — Form ADV Item 11C(3) asks: “C. (3) found you or any advisory affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?”
- No — Form ADV Item 11C(4) asks: “C. (4) entered an order against you or any advisory affiliate in connection with investment-related activity?”
- No — Form ADV Item 11C(5) asks: “C. (5) imposed a civil money penalty on you or any advisory affiliate, or ordered you or any advisory affiliate to cease and desist from any activity?”
- No — Form ADV Item 11D(1) asks: “D. Has any other federal regulatory agency, any state regulatory agency, or any foreign financial regulatory authority: (1) ever found you or any advisory affiliate to have made a false statement or omission, or been dishonest, unfair, or unethical?”
- No — Form ADV Item 11D(3) asks: “D. (3) ever found you or any advisory affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?”
- No — Form ADV Item 11D(4) asks: “D. (4) in the past ten years, entered an order against you or any advisory affiliate in connection with an investment-related activity?”
- No — Form ADV Item 11D(5) asks: “D. (5) ever denied, suspended, or revoked your or any advisory affiliate's registration or license, or otherwise prevented you or any advisory affiliate, by order, from associating with an investment-related business or restricted your or any advisory affiliate's activity?”
- No — Form ADV Item 11E(1) asks: “E. Has any self-regulatory organization or commodities exchange ever: (1) found you or any advisory affiliate to have made a false statement or omission?”
- No — Form ADV Item 11E(2) asks: “E. (2) found you or any advisory affiliate to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the SEC)?”
- No — Form ADV Item 11E(3) asks: “E. (3) found you or any advisory affiliate to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?”
- No — Form ADV Item 11E(4) asks: “E. (4) disciplined you or any advisory affiliate by expelling or suspending you or the advisory affiliate from membership, barring or suspending you or the advisory affiliate from association with other members, or otherwise restricting your or the advisory affiliate's activities?”
- No — Form ADV Item 11F asks: “F. Has an authorization to act as an attorney, accountant, or federal contractor granted to you or any advisory affiliate ever been revoked or suspended?”
- No — Form ADV Item 11G asks: “G. Are you or any advisory affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of Item 11.C., 11.D., or 11.E.?”
- No — Form ADV Item 11H(1)(a) asks: “H. (1) Has any domestic or foreign court: (a) in the past ten years, enjoined you or any advisory affiliate in connection with any investment-related activity?”
- No — Form ADV Item 11H(1)(b) asks: “H. (1)(b) ever found that you or any advisory affiliate were involved in a violation of investment-related statutes or regulations?”
- No — Form ADV Item 11H(1)(c) asks: “H. (1)(c) ever dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or any advisory affiliate by a state or foreign financial regulatory authority?”
- No — Form ADV Item 11H(2) asks: “H. (2) Are you or any advisory affiliate now the subject of any civil proceeding that could result in a "yes" answer to any part of Item 11.H(1)?”
Answers as filed by the adviser on Form ADV Part 1A, Item 11; question text quoted from the form. Details of each “Yes” are in the Disclosure Reporting Pages of the Form ADV (PDF) ↗.
Matched on management entity listed on Form D = adviser name, no state to compare, issuer filed in E9 · Form ADV data: SEC Investment Adviser Information Report (exempt reporting advisers), file dated 2026-10-02, loaded Oct 23, 2026, 8:39 PM ET · IAPD record last checked Oct 23, 2026, 8:36 PM ET
LMR PARTNERS LIMITED — Exempt reporting adviser · SEC registration status as reported: “ERA - Active” since Jan 14, 2016 · SEC file 802-107179 · Main office: HONG KONG · IAPD record ↗ · Form ADV filing (PDF) ↗
Regulatory assets under management: Not reported — exempt reporting advisers do not complete Form ADV Item 5.
Websites listed on Form ADV (Item 1.I): WWW.LMRPARTNERS.COM ↗
Item 11 disclosure questions as answered on Form ADV filed Aug 20, 2026: 1 of 24 answered “Yes”
- No — Form ADV Item 11 asks: “Do any of the events below involve you or any of your supervised persons?”
- Yes (4 disclosures reported) — Form ADV Item 11D(2) asks: “D. (2) ever found you or any advisory affiliate to have been involved in a violation of investment-related regulations or statutes?”
- No — Form ADV Item 11A(1) asks: “A. In the past ten years, have you or any advisory affiliate: (1) been convicted of or pled guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to any felony?”
- No — Form ADV Item 11A(2) asks: “A. (2) been charged with any felony?”
- No — Form ADV Item 11B(1) asks: “B. In the past ten years, have you or any advisory affiliate: (1) been convicted of or pled guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to a misdemeanor involving: investments or an investment-related business, or any fraud, false statements, or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, extortion, or a conspiracy to commit any of these offenses?”
- No — Form ADV Item 11B(2) asks: “B. (2) been charged with a misdemeanor listed in Item 11.B(1)?”
- No — Form ADV Item 11C(1) asks: “C. Has the SEC or the Commodity Futures Trading Commission (CFTC) ever: (1) found you or any advisory affiliate to have made a false statement or omission?”
- No — Form ADV Item 11C(2) asks: “C. (2) found you or any advisory affiliate to have been involved in a violation of SEC or CFTC regulations or statutes?”
- No — Form ADV Item 11C(3) asks: “C. (3) found you or any advisory affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?”
- No — Form ADV Item 11C(4) asks: “C. (4) entered an order against you or any advisory affiliate in connection with investment-related activity?”
- No — Form ADV Item 11C(5) asks: “C. (5) imposed a civil money penalty on you or any advisory affiliate, or ordered you or any advisory affiliate to cease and desist from any activity?”
- No — Form ADV Item 11D(1) asks: “D. Has any other federal regulatory agency, any state regulatory agency, or any foreign financial regulatory authority: (1) ever found you or any advisory affiliate to have made a false statement or omission, or been dishonest, unfair, or unethical?”
- No — Form ADV Item 11D(3) asks: “D. (3) ever found you or any advisory affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?”
- No — Form ADV Item 11D(4) asks: “D. (4) in the past ten years, entered an order against you or any advisory affiliate in connection with an investment-related activity?”
- No — Form ADV Item 11D(5) asks: “D. (5) ever denied, suspended, or revoked your or any advisory affiliate's registration or license, or otherwise prevented you or any advisory affiliate, by order, from associating with an investment-related business or restricted your or any advisory affiliate's activity?”
- No — Form ADV Item 11E(1) asks: “E. Has any self-regulatory organization or commodities exchange ever: (1) found you or any advisory affiliate to have made a false statement or omission?”
- No — Form ADV Item 11E(2) asks: “E. (2) found you or any advisory affiliate to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the SEC)?”
- No — Form ADV Item 11E(3) asks: “E. (3) found you or any advisory affiliate to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?”
- No — Form ADV Item 11E(4) asks: “E. (4) disciplined you or any advisory affiliate by expelling or suspending you or the advisory affiliate from membership, barring or suspending you or the advisory affiliate from association with other members, or otherwise restricting your or the advisory affiliate's activities?”
- No — Form ADV Item 11F asks: “F. Has an authorization to act as an attorney, accountant, or federal contractor granted to you or any advisory affiliate ever been revoked or suspended?”
- No — Form ADV Item 11G asks: “G. Are you or any advisory affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of Item 11.C., 11.D., or 11.E.?”
- No — Form ADV Item 11H(1)(a) asks: “H. (1) Has any domestic or foreign court: (a) in the past ten years, enjoined you or any advisory affiliate in connection with any investment-related activity?”
- No — Form ADV Item 11H(1)(b) asks: “H. (1)(b) ever found that you or any advisory affiliate were involved in a violation of investment-related statutes or regulations?”
- No — Form ADV Item 11H(1)(c) asks: “H. (1)(c) ever dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or any advisory affiliate by a state or foreign financial regulatory authority?”
- No — Form ADV Item 11H(2) asks: “H. (2) Are you or any advisory affiliate now the subject of any civil proceeding that could result in a "yes" answer to any part of Item 11.H(1)?”
Answers as filed by the adviser on Form ADV Part 1A, Item 11; question text quoted from the form. Details of each “Yes” are in the Disclosure Reporting Pages of the Form ADV (PDF) ↗.
Matched on management entity listed on Form D = adviser name, different legal form as filed (Ltd vs LP), no state to compare, issuer filed in E9 · Form ADV data: SEC Investment Adviser Information Report (exempt reporting advisers), file dated 2026-10-02, loaded Oct 23, 2026, 8:39 PM ET · IAPD record last checked Oct 23, 2026, 8:36 PM ET
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