Proxima Alfa Investments (Usa) LLC (New York)

Proxima Alfa Investments (Usa) LLC is a large advisory firm based in New York. It manages $1.04 billion of regulatory assets for 18 client accounts. It has been registered with the SEC as an adviser since 2006.

Proxima Alfa Investments (Usa) provides portfolio management for pooled investment vehicles and 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.

Proxima Alfa Investments (Usa): assets under management

The assets under management (AUM) of Proxima Alfa Investments (Usa) LLC is $1.04 billion, all of which is managed in discretionary accounts. The firm's AUM has gone down by -2% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $1.04 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $57.88 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Proxima Alfa Investments (Usa) LLC for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Proxima Alfa Investments (Usa) LLC

Ricardo Luis Gutierrez Jones joined the executive team most recently as the Chief Operating Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Rajiv Sobti	President & chief investment officer	1 Mar 2004	Other	1543526
Carlos Manuel Asilis	Managing director	1 May 2004	Other	2574188
Julian Barrowcliffe	Managing director	1 May 2004	Other	5070372
Jeffrey Marc Talpins	Managing director	1 Feb 2005	Other	2923552
Larry Seruma	Managing director	1 Mar 2005	Other	2820364
Andrew Eliot Feldman	General counsel & chief compliance officer	1 Jun 2005	Other	2434802
Vega Management Lp	Managing member	1 Nov 2005	Other	20-3747515
Proxima Alfa Management Lp	Managing member	1 Nov 2005	Other	20-3747515
Carlos Rey Martin	Director of operations	1 Feb 2006	Other	5070373
Michael Burrough Mann	Member	1 Feb 2006	75% - 100%	1611306
Kenneth Alan Kolber	Chief financial officer	1 Feb 2006	Other	5053072
Robert Fleming Slutz	Chief executive officer	1 Sep 2006	Other	1626670
Werner Graser	Chief compliance officer	1 Jan 2007	Other	1760581
Mark E Corigliano	Managing director	1 Dec 2007	Other	4202560
Geoffrey Scott Bennett	Managing director	1 Jul 2008	Other	1122092
Proxima Alfa Investments Holdings (Usa) Inc	Managing member	1 Jul 2008	75% - 100%	94-3434262
Maria Joan Baum	Managing director	1 Sep 2008	Other	2544320
Christopher Russell Carter	Managing director	1 Sep 2008	Other	2055945
Ricardo Luis Gutierrez Jones	Chief operating officer	1 Dec 2008	Other	5591536
Apostolos Spheeris	Managing director	1 Dec 2008	Other	5632256

Indirect Owners

The SEC currently registers 9 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Michael Burrough Mann	Managing member	1 May 2005	75% - 100%	1611306
Vega Gp Llc	General partner	1 Nov 2005	Other	20-3747474
Michael Burrough Mann	Director	1 Nov 2005	Other	1611306
Robert Fleming Slutz	Director	1 Nov 2005	Other	1626670
Proxima Alfa Gp Llc	General partner	1 Nov 2005	Other	20-3747474
Slackwater Llc	Member	1 Feb 2006	50% - 75%	20-4448288
S.A. Proxima Alfa Investments S.G.I.I.C.	Shareholder	1 Jul 2008	75% - 100%	foreign
Sa Banco Bilbao Vizcaya Argentaria	Shareholder	1 Jul 2008	50% - 75%	foreign
Vega Asset Management Holdings Ltd	Shareholder	1 Jul 2008	25% - 50%	foreign

Based in New York

The principal office where Proxima Alfa Investments (Usa) LLC performs its advisory services is located at 623 Fifth Avenue, 14 Th Floor, New York, NY 10022, which is also the mailing address of the firm. An additional office of the firm is in East Hampton, NY. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-754-9757 or by fax 212-754-2211. The normal business hours are 9 a.m. to 5 p.m. on Monday - Friday.