Private fund adviser · New York, NY
Polus Capital Management (US) Inc.
SEC-registered investment adviser · CRD 323283 · SEC 801-129156
At a glance
Polus Capital Management (US) Inc. is an SEC-registered investment adviser based in New York, New York, with $1.2 billion in regulatory assets under management as of its Form ADV filed March 31, 2026. Its largest client group by assets is pooled investment vehicles. By Form ADV it is a private fund adviser, ranked 2,145th of 4,686 private fund advisers and 4,886th of 17,210 SEC-registered advisers by assets.
Main office 646-653-2389poluscapital.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $1.2B
- Rank among private fund advisers
- #2,145 of 4,686
- Rank among all SEC RIAs
- #4,886 of 17,210
- Rank in New York
- #1,080 of 2,591
- Clients
- 3
- Accounts
- 3
- Discretionary
- 100% of AUM
- Employees
- 18
- Advisory staff
- 7
- Offices
- 2
Owners and executives on its Form ADV
- Nicholas I. ChalmersDirector
- David D. KimDirector
- Stefano N. DovaDirector
- Annalisa N. RotunnoDirector
- Frank N. GoasguenDirector
- William R. CannonChief Compliance Officer
Custody and brokerage
Custodian
Polus Capital Management (US) Inc.’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Broker-dealer
Hybrid RIA
Polus Capital Management (US) Inc. is a hybrid RIA: 1 of its employees are also registered representatives of a broker-dealer. It names affiliated broker-dealers: Banca Monte DEI Paschi DI Siena S.P.A. and Mediobanca- Banca DI Credito Finanziario S.p.a.
- Banca Monte DEI Paschi DI Siena S.P.A.
- Mediobanca- Banca DI Credito Finanziario S.p.a
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Pooled investment vehicles | 3 | $1.2B | 100% |
Private funds
Polus Capital Management (US) Inc. reports 3 private funds with $1.2B in gross assets: securitized asset funds (Form ADV Item 7.B).
Disciplinary disclosures
Polus Capital Management (US) Inc. answers yes to 7 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for pooled investment vehicles
How it’s paid
- A percentage of assets under management
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗poluscapital.com ↗
AtlasMembers
The full record on Polus Capital Management (US) Inc.
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 2 years of filings
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- Growth over one, three and five years
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- Rank against 2,104 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 6 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 5Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Polus Capital Management (US) Inc. manage?
Polus Capital Management (US) Inc. reports $1.2 billion in regulatory assets under management across 3 accounts, 100% of it on a discretionary basis, on its Form ADV filed March 31, 2026.
What kind of firm is Polus Capital Management (US) Inc.?
Polus Capital Management (US) Inc. is a private fund adviser by its Form ADV answers. Private funds are at least half of its business by assets. It reports a bank or thrift among its related persons.
Who are Polus Capital Management (US) Inc.’s clients?
By assets, its largest client types are pooled investment vehicles ($1.2 billion, 3 clients).
Does Polus Capital Management (US) Inc. manage private funds?
Yes. It reports 3 private funds with $1.2 billion in gross assets, including securitized asset funds.
Does Polus Capital Management (US) Inc. have any disciplinary history?
Polus Capital Management (US) Inc. answers yes to 7 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Polus Capital Management (US) Inc.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-31), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →