Polygon Investments Ltd. (London)

Name: Polygon Investments Ltd.
Address: 10 Duke Of York Square, London, Sw3 4 Ly
Telephone: +44 (0) 207 901 8300

Polygon Investments Ltd. is a large advisory firm based in London. It manages $2.29 billion of regulatory assets for 3 client accounts. It has been registered with the SEC as an adviser since 2005.

Polygon Investments provides market timing services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Polygon Investments: assets under management

The assets under management (AUM) of Polygon Investments Ltd. is $2.29 billion, all of which is managed in discretionary accounts. The company doesn't manage any assets belonging to foreign clients.

The firm manages $2.29 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $762.23 million each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Polygon Investments Ltd. for their services and products based on 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.

Careers at Polygon Investments Ltd.

Gregory Wadsworth has been acting as President since 1 Apr 2003. Sean A Cote joined the executive team most recently as the General Counsel And Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Reade Eugene Griffith	Principal	1 Nov 2002	Other	3155603
Reg Holdco Ltd.	Equityholder	1 Nov 2002	25% - 50%	98-0407814
Alexander Edward Jackson	Principal	1 Nov 2002	Other	1543440
Aej Holdco Ltd.	Equityholder	1 Nov 2002	25% - 50%	98-0393341
Patrick Giles Gauntlett Dear	Principal; director; equityholder	1 Nov 2002	Other	1775223
Patrick G. G. Dear Children's Settlement	Equityholder	1 Nov 2002	Other	none
Heather L Robertson	Director of business development	1 Feb 2003	Other	3223499
Philip Bland	Chief financial officer	1 Mar 2003	Other	5069653
Gregory Wadsworth	Director	1 Apr 2003	Other	2747968
Robert Cromwell Coulson	Director	1 Apr 2003	Other	1707195
Sean A Cote	General counsel and chief compliance officer	1 Aug 2004	Other	5069677

Indirect Owners

The SEC currently registers 3 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Griffith Descendants' 2002 Trust	Equityholder	1 Nov 2002	25% - 50%	13-7354128
Jackson Descendants' 2002 Trust	Equityholder	1 Nov 2002	25% - 50%	13-7354129
Hugh G.B. Derrick	Trustee	1 Nov 2002	Other	5069655

Based in London

The principal office where Polygon Investments Ltd. performs its advisory services is located at 10 Duke Of York Square, London, Sw3 4 Ly, 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 +44 (0) 207 901 8300 or by fax +44 (0) 207 901 8301. The normal business hours are 9:00 a.m.-5:30 p.m. (gmt) on Monday - Friday. You can find more information about the New York firm at www.polygoninv.com.