Tudor Investment Corporation (Stamford)

Name: Tudor Investment Corporation
Address: 200 Elm Street, Stamford, CT, 06902 3800
Telephone: 203-863-6700

Tudor Investment Corporation is a large advisory firm based in Stamford. It manages $38.02 billion of regulatory assets for 25 client accounts. It has been registered with the SEC as an adviser since 2012 and has operated in the jurisdictions of Connecticut, Florida, Massachusetts, and New York.

Tudor Investment Corporation provides portfolio management for investment companies, portfolio management for pooled investment vehicles, and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Tudor Investment Corporation: assets under management

The assets under management (AUM) of Tudor Investment Corporation is $38.02 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 95% since the beginning of its operation, and $36.6 billion of the total AUM is attributable to clients outside of the United States.

The firm manages $38.02 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.52 billion each.

Tudor Investment Corporation has custody of $4.15 billion in cash and securities for 10 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Tudor Investment Corporation for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Robert Philip Forlenza serves?

The firm provides services to investment companies and pooled investment vehicles. The largest group of clients of Robert Philip Forlenza is pooled investment vehicles with 23 clients and $38.02 billion of assets under management. Among the 9 most similar advisory firms, Tudor Investment Corporation has the 2nd highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $38.02 billion for 25 clients. 65% of the firm’s clients are foreign persons or businesses.

Tudor Investment Corporation also advises several private funds. Namely, nine hedge funds and three private equity funds. The minimum investment commitment required of non-related persons ranges from $60,000 to $10,000,000.

Careers at Tudor Investment Corporation

The company employs 257 people that are either part- or full-time employees. 43 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Robert Philip Forlenza has been acting as President since 1 Jul 1997. Clayton Marc Otto joined the executive team most recently as the Chief Operating Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Paul Tudor Jones	Co-chairman, chief investment officer, member of tudor management committee, and director of tudor investment corporation	1 Nov 1980	50% - 75%	830207
Mark Foote Dalton	Co-chairman, chief executive officer, member of tudor management committee, and director of tudor investment corporation	1 Sep 1988	Other	1367867
Andrew Sanford Paul	General counsel, member of tudor management committee, and director of tudor investment corporation	1 Jul 1989	Other	1999923
Richard Love Fisher	Director of tudor investment corporation	1 Jun 1991	Other	2216880
Robert Philip Forlenza	Director	1 Jul 1997	Other	6027309
John Raymond Torell	Chief financial officer, member of tudor management committee, and director of tudor investment corporation	1 Jun 2001	Other	1993018
Mark Roger Nicholson	Director of tudor investment corporation	1 Dec 2001	Other	6027314
Steven Evans	Member of tudor management committee of tudor investment corporation	1 Jan 2003	Other	2819348
Brooke Zykan Bernstein	Chief compliance officer	1 Apr 2004	Other	2334501
Gavin Simon Boyle	Co-president, member of tudor management committee, and director of tudor investment corporation	1 Jan 2008	Other	6004609
Ltd. Tudor Capital (U.K.)	Managing member of tudor capital europe llp	1 Oct 2008	Other	98-0154514
L.L.C. Tudor International	Member of tudor capital europe llp	1 Oct 2008	75% - 100%	98-0154516
Michael Riccardi	Co-president, chief operating officer, member of tudor management committee, and director of tudor investment corporation	1 Jan 2010	Other	6027305
Richard William Francis Jackson	Member of tudor management committee	1 Jan 2012	Other	3052403
Alberto Gabriel Musalem Borrero	Member of the tudor management committee	1 Jan 2012	Other	6027320
Kevin A Wulwik	Chief compliance officer of tudor investment corporation and each of the relying advisers	1 Jan 2013	Other	6168985
Tudor Overseas Holdings Llc	Sole shareholder of tudor capital singapore pte. ltd. and of tudor capital australia pty ltd	1 Jan 2014	75% - 100%	46-1086537
Andrew Charles Bound	Member of the tudor management committee	1 Jan 2014	Other	3013304
Aadarsh Kumar Malde	Member of the tudor management committee	1 Jan 2014	Other	2680587
Louise M Zarrilli	Head of investor relations and member of tudor management committee	1 Jan 2014	Other	1609226
Stephen Neal Waldman	General counsel (united states)	1 Jul 2015	Other	6629041
Ltd. Tudor Capital (U.K.)	Managing member of tudor international llc	1 Aug 2016	Other	98-0154514
Shaun Gavin King	Member of tudor management committee, and director of tudor investment corporation	1 Dec 2016	Other	6761916
Bronwyn Mary Eckhardt	Chief compliance officer (united states)	1 Jun 2017	Other	2653632
Mark Foote Dalton	Co-chairman, member of tudor management committee, and director of tudor investment corporation	1 Nov 2017	Other	1367867
Michael Riccardi	Chief executive officer & chief operating officer, member of tudor management committee, & director of tudor investment corp.	1 Nov 2017	Other	6027305
Clayton Marc Otto	Chief operating officer	1 Feb 2018	Other	6923045

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Tudor Overseas Holdings Llc	Member	1 Dec 2012	75% - 100%	46-1086537
Tudor Investment Corporation	Member	1 Jan 2013	75% - 100%	159792

Based in Stamford

The principal office where Tudor Investment Corporation performs its advisory services is located at 200 Elm Street, Stamford, CT 06902 3800, which is also the mailing address of the firm. An additional office of the firm is in New York, NY. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 203-863-6700 or by fax 203-552-8610. The normal business hours are 9:00am -5:00pm on Monday - Friday. You can find more information about the New York firm at tudor.com.