Kingdom Ridge Capital Insider Trading – Investing Area

Kingdom Ridge Capital is a White Plains, New York-based hedge fund, and an SEC-Registered investment advisor. Since commencing operations in the spring of 2008, they have focused on public equities in the technology sector.

An investment advisor is, by definition, a person or company that gives advice or recommendations about securities and securities markets for compensation, and is in the business of giving advice about securities. Just because a firm meets this definition, however, it is not required to register with the Securities and Exchange Commission (SEC) or with other securities regulators. A firm may be excluded if, for example, if these services are “solely incidental” to its main business.

Generally speaking, only those firms that assets of twenty-five million dollars are more are able to register with the SEC. Firms or individuals with fewer assets can register under state law with state securities authorities. The U.S. Investment Advisers Act of 1940, which regulates investment advisors, was amended in 1996, and again in 2010, to distribute regulatory responsibility between the SEC and states.

Kingdom Ridge Capital was founded by Christopher F. Zepf and co-founder Brian D. Thonn. Chris Zepf is the Managing Principal and Portfolio Manager. Brian Thonn is also a Principal, serves as its Director of Research, and also covers certain enterprise hardware stocks. The third member of the Kingdom Ridge Executive Team is Mike Manley, who is the Chief Financial Officer, Chief Operating Officer, and the Chief Compliance Officer.

Sources:

http://www.kingdomridgecapital.com/executive-team/

https://www.sec.gov/divisions/investment/iaregulation/memoia.htm

https://www.sec.gov/about/offices/oia/oia_investman/rplaze-042012.pdf

 

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Author: kingdomridgecapital

Kingdom Ridge Capital is a company that is dependent upon a great deal of fundamental research, and the nature of this research is inherently challenging. Any bottom-up investment fund will rely upon understanding what is happening in the real world and reducing it to the numbers that drive their financial models.