{ "crd_number": 134776, "slug": "highbridge-capital-management-llc-new-york-ny-134776", "primary_business_name": "HIGHBRIDGE CAPITAL MANAGEMENT, LLC", "legal_name": "HIGHBRIDGE CAPITAL MANAGEMENT, LLC", "dbas": [], "city": "New York", "state": "NY", "country": "United States", "cbsa_code": "35620", "metro": { "cbsa_code": "35620", "common_name": "New York", "msa_name": "New York-Newark-Jersey City, NY-NJ", "path": "/advisors/ny/new-york" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2005-07-06", "years_registered": 21, "period": "2026-10-01", "filing_date": "2026-03-31", "carried_forward": false, "raum_total": 7552169082.0, "raum_discretionary": 7552169082.0, "raum_non_discretionary": 0.0, "raum_band": "over_5b", "raum_band_label": "Over $5 billion", "total_employees": 60, "advisory_employees": 18, "client_count_bucket": null, "clients_by_type": { "pooled_investment_vehicles": { "raum": 7552169082.0, "count": 16 } }, "compensation_types": [ "fixed", "percentage_of_aum", "performance_based" ], "advisory_activities": [ "portfolio_management_pooled_vehicles" ], "wrap_fee_participant": false, "disclosure_yes_count": 8, "states_registered": [], "websites": [ "https://highbridge.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/134776", "disclosure_items": [ { "item": "11.A(1)", "question": "In the past ten years, has the firm or an advisory affiliate been convicted of, or pleaded guilty or no contest to, a felony?" }, { "item": "11.A(2)", "question": "In the past ten years, has the firm or an advisory affiliate been charged with a felony?" }, { "item": "11.C(1)", "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?" }, { "item": "11.C(2)", "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?" }, { "item": "11.C(4)", "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?" }, { "item": "11.C(5)", "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?" }, { "item": "11.D(2)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?" }, { "item": "11.D(4)", "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?" } ], "city_as_filed": "NEW YORK", "url": "https://advisorcensus.com/firm/highbridge-capital-management-llc-new-york-ny-134776", "display_name": "Highbridge Capital Management, LLC", "summary": "Highbridge Capital Management, LLC is an SEC-registered investment advisory firm in New York, NY, registered since 2005, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated March 31, 2026.", "citation": "AdvisorCensus. Highbridge Capital Management, LLC (CRD 134776): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Fixed fees (other than subscription fees)", "Performance-based fees" ], "advisory_activity_labels": [ "Portfolio management for pooled investment vehicles (other than investment companies)" ], "quick_answers": [ { "q": "How is Highbridge Capital Management, LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Highbridge Capital Management, LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees); performance-based fees. The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Highbridge Capital Management, LLC located?", "a": "Highbridge Capital Management, LLC's principal office is in New York, NY, according to its Form ADV." }, { "q": "Is Highbridge Capital Management, LLC registered with the SEC or a state?", "a": "Highbridge Capital Management, LLC is an SEC-registered investment advisory firm, registered since 2005. Status as filed: Approved. CRD 134776." }, { "q": "How much does Highbridge Capital Management, LLC manage?", "a": "Highbridge Capital Management, LLC reports $7,552,169,082 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (100% discretionary)." }, { "q": "How have Highbridge Capital Management, LLC's assets and staff changed since 2021?", "a": "In the Form ADV data for Highbridge Capital Management, LLC: Regulatory assets under management: $6,421,677,148 in the October 2021 data and $7,552,169,082 in the October 2026 data, up 18%. Total employees: 40 in October 2021 and 60 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Highbridge Capital Management, LLC serve?", "a": "By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (16)." }, { "q": "Does Highbridge Capital Management, LLC report any disciplinary disclosures?", "a": "Reports 8 disclosure items on Form ADV Item 11: yes answers to 2 questions about criminal matters and 6 questions about regulatory matters (11.A(1), 11.A(2), 11.C(1), 11.C(2), 11.C(4), 11.C(5), 11.D(2), 11.D(4)). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/134776" }, { "q": "What changed in Highbridge Capital Management, LLC's recent Form ADV filings?", "a": "In the April 2026 filing data: Employees performing advisory functions went from 20 to 18." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 6421677148.0, "total_employees": 40, "filing_date": "2021-03-30" }, { "period": "2022-10-01", "regulatory_assets_under_management": 7919028894.0, "total_employees": 46, "filing_date": "2022-04-18" }, { "period": "2023-10-01", "regulatory_assets_under_management": 7026318705.0, "total_employees": 49, "filing_date": "2023-05-12" }, { "period": "2024-10-01", "regulatory_assets_under_management": 7153932695.0, "total_employees": 54, "filing_date": "2024-06-28" }, { "period": "2025-10-01", "regulatory_assets_under_management": 7463591758.0, "total_employees": 56, "filing_date": "2025-04-10" }, { "period": "2026-10-01", "regulatory_assets_under_management": 7552169082.0, "total_employees": 60, "filing_date": "2026-03-31" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Employees performing advisory functions went from 20 to 18." ] }, { "period": "2026-01-01", "period_label": "January 2026", "notes": [ "Updated its list of owners and control persons (Schedule A)." ] } ], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/highbridge-capital-management-llc-new-york-ny-134776.md", "clients": [ { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 16, "fewer_than_5": false, "raum": 7552169082.0 } ], "disclosure_line": "Reports 8 disclosure items on Form ADV Item 11.", "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/134776", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }