PEQUOT CAPITAL MANAGEMENT INC
CRD #108686 SEC #802-106497 KATONAH, NY 914-401-7040
State Registered Exempt Reporting Private Funds Disclosures
Total AUM
$36M
Discretionary
$36M
Employees
1
Clients
0
Accounts
1
This firm has regulatory disclosures on file.
View disclosures
Firm Details
- Organization Type
- Corporation
- State of Formation
- Connecticut
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jan 30, 2018
- Branch Offices
- 1
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BROACH, MARK, ALLEN | I | MANAGING DIRECTOR/PORTFOLIO MANAGER | NA | Control |
| BROACH, MARK, ALLEN | I | MANAGING DIRECTOR/PORTFOLIO MANAGER | NA | Control |
| BROACH, MARK, ALLEN | I | MANAGING DIRECTOR/PORTFOLIO MANAGER | NA | Control |
| BROACH, MARK, ALLEN | I | MANAGING DIRECTOR/PORTFOLIO MANAGER | NA | Control |
| BROACH, MARK, ALLEN | I | MANAGING DIRECTOR/PORTFOLIO MANAGER | NA | Control |
| BROACH, MARK, ALLEN | I | SENIOR MANAGING DIRECTOR/PORTFOLIO MANAGER | NA | Control |
| BROACH, MARK, ALLEN | I | MANAGING DIRECTOR/PORTFOLIO MANAGER | NA | Control |
| BROACH, MARK, ALLEN | I | MANAGING DIRECTOR/PORTFOLIO MANAGER | NA | Control |
| BURDICK, ROBERT, JOHN | I | MANAGING DIRECTOR/CHIEF MARKETING OFFICER | NA | Control |
| BURDICK, ROBERT, JOHN | I | MANAGING DIRECTOR/CHIEF MARKETING OFFICER | NA | Control |
| BURDICK, ROBERT, JOHN | I | MANAGING DIRECTOR/CHIEF MARKETING OFFICER | NA | Control |
| BURDICK, ROBERT, JOHN | I | MANAGING DIRECTOR/CHIEF MARKETING OFFICER | NA | Control |
| BURDICK, ROBERT, JOHN | I | MANAGING DIRECTOR/CHIEF MARKETING OFFICER | NA | Control |
| CLANCY, SHEILA, JOAN | I | DIRECTOR OF MARKETING/MANAGING DIRECTOR | NA | |
| CLANCY, SHEILA, JOAN | I | DIRECTOR OF MARKETING/MANAGING DIRECTOR | NA | |
| CORASANITI, MICHAEL, ANTHONY | I | MANAGING DIRECTOR/PORTFOLIO MANAGER/PRESIDENT/CHIEF INVESTMENT OFFICER | NA | Control |
| CURLEY, FRANCIS, XAVIER | I | PRINCIPAL/CHIEF COMPLIANCE OFFICER | NA | Control |
| CURLEY, FRANCIS, XAVIER | I | PRINCIPAL/CHIEF COMPLIANCE OFFICER | NA | Control |
| CURLEY, FRANCIS, XAVIER | I | PRINCIPAL/CHIEF COMPLIANCE OFFICER | NA | Control |
| CURLEY, FRANCIS, XAVIER | I | PRINCIPAL/CHIEF COMPLIANCE OFFICER | NA | Control |
| CURLEY, FRANCIS, XAVIER | I | PRINCIPAL/CHIEF COMPLIANCE OFFICER | NA | Control |
| CUTLER, LAWRENCE, DAVID | I | PRINCIPAL/CHIEF COMPLIANCE OFFICER | NA | Control |
| CUTLER, LAWRENCE, DAVID | I | PRINCIPAL/CHIEF COMPLIANCE OFFICER | NA | Control |
| DARTLEY, PETER | I | SENIOR MANAGING DIRECTOR/VICE CHAIRMAN | NA | Control |
| DARTLEY, PETER | I | MANAGER - EQUITY TRADING/MANAGING DIRECTOR | NA | |
| DARTLEY, PETER | I | MANAGER - EQUITY TRADING/MANAGING DIRECTOR | NA | |
| DAVIS, ARYEH | I | MANAGING DIRECTOR/CHIEF OPERATING OFFICER/GENERAL COUNSEL/SECRETARY | NA | Control |
| DAVIS, ARYEH | I | MANAGING DIRECTOR/CHIEF OPERATING OFFICER/GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER/SECRETARY | NA | Control |
| DAVIS, ARYEH | I | MANAGING DIRECTOR/CHIEF OPERATING OFFICER/GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER/SECRETARY | NA | Control |
| DAVIS, ARYEH | I | MANAGING DIRECTOR/CHIEF OPERATING OFFICER/GENERAL COUNSEL/SECRETARY | NA | Control |
| DAVIS, ARYEH | I | MANAGING DIRECTOR/CHIEF OPERATING OFFICER/GENERAL COUNSEL/SECRETARY | NA | Control |
| DAVIS, ARYEH | I | MANAGING DIRECTOR/CHIEF OPERATING OFFICER/GENERAL COUNSEL/SECRETARY | NA | Control |
| DAVIS, ARYEH | I | MANAGING DIRECTOR/CHIEF OPERATING OFFICER/GENERAL COUNSEL/SECRETARY | NA | Control |
| DAVIS, ARYEH | I | MANAGING DIRECTOR/CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL/SECRETARY | NA | Control |
| DAVIS, ARYEH | I | MANAGING DIRECTOR/CHIEF OPERATING OFFICER/GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER/SECRETARY | NA | Control |
| DAVIS, ARYEH | I | PRINCIPAL/GENERAL COUNSEL/ASSISTANT SECRETARY | NA | Control |
| DAVIS, ARYEH | I | PRINCIPAL/GENERAL COUNSEL | NA | Control |
| DAVIS, ARYEH | I | MANAGING DIRECTOR/CHIEF EXECUTIVE OFFICER/CHIEF OPERATING OFFICER/GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER/DIRECTOR/ SECRETARY | NA | Control |
| DAVIS, ARYEH | I | MANAGING DIRECTOR/CHIEF EXECUTIVE OFFICER/CHIEF OPERATING OFFICER/GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER/DIRECTOR/ SECRETARY | NA | Control |
| DAVIS, ARYEH | I | MANAGING DIRECTOR/CHIEF EXECUTIVE OFFICER/CHIEF OPERATING OFFICER/GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER/DIRECTOR/ SECRETARY | NA | Control |
| DAVIS, ARYEH | I | MANAGING DIRECTOR/CHIEF EXECUTIVE OFFICER/CHIEF OPERATING OFFICER/GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER/DIRECTOR/ SECRETARY | NA | Control |
| DAVIS, ARYEH | I | MANAGING DIRECTOR/CHIEF EXECUTIVE OFFICER/CHIEF OPERATING OFFICER/GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER/DIRECTOR/ SECRETARY | NA | Control |
| DAVIS, ARYEH | I | MANAGING DIRECTOR/CHIEF EXECUTIVE OFFICER/CHIEF OPERATING OFFICER/GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER/DIRECTOR/ SECRETARY | NA | Control |
| DAVIS, ARYEH | I | MANAGING DIRECTOR/CHIEF EXECUTIVE OFFICER/CHIEF OPERATING OFFICER/GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER/DIRECTOR/ SECRETARY | NA | Control |
| DAVIS, ARYEH | I | MANAGING DIRECTOR/CHIEF EXECUTIVE OFFICER/CHIEF OPERATING OFFICER/GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER/DIRECTOR/ SECRETARY | NA | Control |
| DAVIS, ARYEH | I | MANAGING DIRECTOR/CHIEF EXECUTIVE OFFICER/CHIEF OPERATING OFFICER/GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER/DIRECTOR/ SECRETARY | NA | Control |
| DAVIS, ARYEH | I | MANAGING DIRECTOR/CHIEF EXECUTIVE OFFICER/CHIEF OPERATING OFFICER/GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER/DIRECTOR/ SECRETARY | NA | Control |
| FARRELL, PAUL, DAVID | I | MANAGING DIRECTOR | NA | Control |
| FARRELL, PAUL, DAVID | I | MANAGING DIRECTOR | NA | Control |
| FARRELL, PAUL, DAVID | I | MANAGING DIRECTOR | NA | Control |
| FARRELL, PAUL, DAVID | I | MANAGING DIRECTOR | NA | Control |
| FISHBANE, DANIEL, MITCHEL | I | PRINCIPAL/CHIEF FINANCIAL OFFICER/ASSISTANT SECRETARY | NA | Control |
| FISHBANE, DANIEL, MITCHEL | I | PRINCIPAL/CHIEF FINANCIAL OFFICER/ASSISTANT SECRETARY | NA | Control |
| FISHBANE, DANIEL, MITCHEL | I | PRINCIPAL/CHIEF FINANCIAL OFFICER/ASSISTANT SECRETARY | NA | Control |
| HAUGH, SHARON, LOUISE | I | MANAGING DIRECTOR/CHIEF EXECUTIVE OFFICER/SECRETARY | NA | Control |
| JOSLIN, RICHARD | I | PRINCIPAL/CHIEF ACCOUNTING OFFICER/ASSISTANT SECRETARY | NA | Control |
| JOSLIN, RICHARD | I | PRINCIPAL/CHIEF ACCOUNTING OFFICER | NA | Control |
| KAHN, HAROLD, DAVID | I | PRINCIPAL/CHIEF OPERATING OFFICER/SECRETARY | NA | Control |
| KAHN, HAROLD, DAVID | I | PRINCIPAL/CHIEF OPERATING OFFICER/ASSISTANT SECRETARY | NA | Control |
| LENIHAN, LAWRENCE, DAVID | I | MANAGING DIRECTOR/PORTFOLIO MANAGER | NA | Control |
| LENIHAN, LAWRENCE, DAVID | I | MANAGING DIRECTOR/PORTFOLIO MANAGER | NA | Control |
| LENIHAN, LAWRENCE, DAVID | I | MANAGING DIRECTOR/PORTFOLIO MANAGER | NA | Control |
| LENIHAN, LAWRENCE, DAVID | I | MANAGING DIRECTOR/PORTFOLIO MANAGER | NA | Control |
| LENIHAN, LAWRENCE, DAVID | I | SENIOR MANAGING DIRECTOR/PORTFOLIO MANAGER | NA | Control |
| LENIHAN, LAWRENCE, DAVID | I | MANAGING DIRECTOR/PORTFOLIO MANAGER | NA | |
| LENIHAN, LAWRENCE, DAVID | I | MANAGING DIRECTOR/PORTFOLIO MANAGER | NA | Control |
| LENIHAN, LAWRENCE, DAVID | I | MANAGING DIRECTOR/PORTFOLIO MANAGER | NA | |
| LENIHAN, LAWRENCE, DAVID | I | MANAGING DIRECTOR/PORTFOLIO MANAGER | NA | Control |
| O'BRIEN, KEVIN, EUGENE | I | MANAGING DIRECTOR/SECRETARY/GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER | NA | |
| O'BRIEN, KEVIN, EUGENE | I | MANAGING DIRECTOR/SECRETARY/GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER | NA | |
| POCH, GERALD, ALAN | I | MANAGING DIRECTOR/PORTFOLIO MANAGER | NA | |
| POCH, GERALD, ALAN | I | MANAGING DIRECTOR/PORTFOLIO MANAGER | NA | |
| RODRIGUES, CARLOS, JOSE | I | PRINCIPAL/CHIEF FINANCIAL OFFICER/ASSISTANT SECRETARY | NA | Control |
| RODRIGUES, CARLOS, JOSE | I | PRINCIPAL/CHIEF FINANCIAL OFFICER | NA | Control |
| RODRIGUES, CARLOS, JOSE | I | PRINCIPAL/CHIEF FINANCIAL OFFICER | NA | Control |
| ROSENTHAL, JAMES, ARTHUR | I | MANAGING DIRECTOR | NA | Control |
| SCHENDEL, WALTER, GERALD | I | MANAGING DIRECTOR/PORTFOLIO MANAGER | NA | |
| SCHENDEL, WALTER, GERALD | I | MANAGING DIRECTOR/PORTFOLIO MANAGER | NA | |
| WEBSTER, ROBERT, B | I | MANAGING DIRECTOR/PORTFOLIO MANAGER | NA | Control |
| WIEN, BYRON, RICHARD | I | MANAGING DIRECTOR/CHIEF INVESTMENT STRATEGIST | NA | Control |
| WIEN, BYRON, RICHARD | I | MANAGING DIRECTOR/CHIEF INVESTMENT STRATEGIST | NA | Control |
| WIEN, BYRON, RICHARD | I | MANAGING DIRECTOR/CHIEF INVESTMENT STRATEGIST | NA | Control |
| WIEN, BYRON, RICHARD | I | MANAGING DIRECTOR/CHIEF INVESTMENT STRATEGIST | NA | Control |
| WIEN, BYRON, RICHARD | I | MANAGING DIRECTOR/CHIEF INVESTMENT STRATEGIST | NA | Control |
| ZAMSKY, STEVEN, ADOLPH | I | MANAGING DIRECTOR/PORTFOLIO MANAGER | NA | Control |
| SAMBERG, ARTHUR, J | I | MANAGING DIRECTOR/CHIEF EXECUTIVE OFFICER/CHAIRMAN/SHAREHOLDER | E | Control |
| SAMBERG, ARTHUR, J | I | MANAGING DIRECTOR/CHIEF EXECUTIVE OFFICER/CHAIRMAN/SHAREHOLDER | E | Control |
| SAMBERG, ARTHUR, J | I | MANAGING DIRECTOR/CHIEF EXECUTIVE OFFICER/CHAIRMAN/SHAREHOLDER | E | Control |
| SAMBERG, ARTHUR, J | I | MANAGING DIRECTOR/CHIEF EXECUTIVE OFFICER/CHAIRMAN/SHAREHOLDER | E | Control |
| SAMBERG, ARTHUR, J | I | MANAGING DIRECTOR/CHIEF EXECUTIVE OFFICER/CHAIRMAN/SHAREHOLDER | E | Control |
| SAMBERG, ARTHUR, J | I | MANAGING DIRECTOR/CHIEF EXECUTIVE OFFICER/CHAIRMAN/SHAREHOLDER | E | Control |
| SAMBERG, ARTHUR, J | I | MANAGING DIRECTOR/CHIEF EXECUTIVE OFFICER/CHAIRMAN/SHAREHOLDER | E | Control |
| SAMBERG, ARTHUR, J | I | SENIOR MANAGING DIRECTOR/CHIEF EXECUTIVE OFFICER/CHAIRMAN | E | Control |
| SAMBERG, ARTHUR, J | I | MANAGING DIRECTOR/CHIEF EXECUTIVE OFFICER/CHAIRMAN/SHAREHOLDER | E | Control |
| SAMBERG, ARTHUR, J | I | MANAGING DIRECTOR/CHAIRMAN/CHIEF EXECUTIVE OFFICER | E | Control |
| SAMBERG, ARTHUR, J | I | MANAGING DIRECTOR/CHAIRMAN | E | Control |
| SAMBERG, ARTHUR, J | I | OWNER | E | |
| SAMBERG, ARTHUR, J | I | OWNER | E | |
| SAMBERG, ARTHUR, J | I | OWNER | E | |
| SAMBERG, ARTHUR, J | I | OWNER | E | |
| SAMBERG, ARTHUR, J | I | OWNER | E | |
| SAMBERG, ARTHUR, J | I | OWNER | E | |
| SAMBERG, ARTHUR, J | I | OWNER | E | |
| SAMBERG, ARTHUR, J | I | OWNER | E | |
| SAMBERG, ARTHUR, J | I | OWNER | E | |
| SAMBERG, ARTHUR, J | I | OWNER | E | |
| SAMBERG, ARTHUR, J | I | CHAIRMAN/CEO/DIRECTOR/MANAGING DIRECTOR | C | Control |
| SAMBERG, ARTHUR, J | I | CHAIRMAN/CEO/DIRECTOR/MANAGING DIRECTOR | C | Control |
| DARTLEY 2005 INVESTMENT TRUST A | DE | SHAREHOLDER | B | |
| DARTLEY 2005 INVESTMENT TRUST A | DE | SHAREHOLDER | B | |
| DARTLEY 2005 INVESTMENT TRUST A | DE | SHAREHOLDER | B | |
| DARTLEY 2005 INVESTMENT TRUST A | DE | SHAREHOLDER | B | |
| DARTLEY 2005 INVESTMENT TRUST A | DE | SHAREHOLDER | B | |
| DARTLEY, KAREN | I | SHAREHOLDER | B | |
| DARTLEY, KAREN | I | SHAREHOLDER | B | |
| DARTLEY, KAREN | I | SHAREHOLDER | B | |
| DARTLEY, KAREN | I | SHAREHOLDER | B | |
| DARTLEY, KAREN | I | SHAREHOLDER | B | |
| DARTLEY, PETER | I | MANAGING DIRECTOR/VICE CHAIRMAN/SHAREHOLDER | B | Control |
| DARTLEY, PETER | I | MANAGING DIRECTOR/VICE CHAIRMAN/SHAREHOLDER | B | Control |
| DARTLEY, PETER | I | MANAGING DIRECTOR/VICE CHAIRMAN/SHAREHOLDER | B | Control |
| DARTLEY, PETER | I | MANAGING DIRECTOR/VICE CHAIRMAN/SHAREHOLDER | B | Control |
| DARTLEY, PETER | I | MANAGING DIRECTOR/VICE CHAIRMAN/SHAREHOLDER | B | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| DARTLEY, KAREN | I | DARTLEY 2005 INVESTMENT TRUST A | F | |
| DARTLEY, KAREN | I | DARTLEY 2005 INVESTMENT TRUST A | F | |
| DARTLEY, KAREN | I | DARTLEY 2005 INVESTMENT TRUST A | F | |
| DARTLEY, KAREN | I | DARTLEY 2005 INVESTMENT TRUST A | F | |
| DARTLEY, KAREN | I | DARTLEY 2005 INVESTMENT TRUST A | F | |
| DARTLEY, PETER | I | DARTLEY 2005 INVESTMENT TRUST A | F | |
| DARTLEY, PETER | I | DARTLEY 2005 INVESTMENT TRUST A | F | |
| DARTLEY, PETER | I | DARTLEY 2005 INVESTMENT TRUST A | F | |
| DARTLEY, PETER | I | DARTLEY 2005 INVESTMENT TRUST A | F | |
| DARTLEY, PETER | I | DARTLEY 2005 INVESTMENT TRUST A | F |
Registrations
Federal
ERA
Jan 30, 2018 REGISTERED
Notice Filings (3)
CA CT NY
Address
77 BEDFORD ROADKATONAH, NY 10536-2141
United States
Phone: 914-401-7040