{ "crd_number": 172116, "slug": "squarepoint-ops-llc-new-york-ny-172116", "primary_business_name": "SQUAREPOINT OPS LLC", "legal_name": "SQUAREPOINT OPS LLC", "dbas": [ "SQUAREPOINT", "SQUAREPOINT GROUP" ], "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": "2014-11-18", "years_registered": 11, "period": "2026-10-01", "filing_date": "2026-08-07", "carried_forward": false, "raum_total": 226980317646.0, "raum_discretionary": 226980317646.0, "raum_non_discretionary": 0.0, "raum_band": "over_5b", "raum_band_label": "Over $5 billion", "total_employees": 69, "advisory_employees": 61, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "charitable": { "raum": 20382796.0, "count": 1, "fewer_than_5": true }, "pooled_investment_vehicles": { "raum": 226959934850.0, "count": 27 } }, "compensation_types": [ "other", "percentage_of_aum", "performance_based" ], "advisory_activities": [ "portfolio_management_businesses_institutional", "portfolio_management_pooled_vehicles", "selection_of_other_advisers" ], "wrap_fee_participant": false, "disclosure_yes_count": 2, "states_registered": [ "CA", "CO", "IL", "NY", "TX" ], "websites": [ "https://linkedin.com/COMPANY/SQUAREPOINT-CAPITAL", "https://squarepoint-capital.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/172116", "disclosure_items": [ { "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/squarepoint-ops-llc-new-york-ny-172116", "display_name": "Squarepoint OPS LLC", "summary": "Squarepoint OPS LLC is an SEC-registered investment advisory firm in New York, NY, registered since 2014, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated August 7, 2026.", "citation": "AdvisorCensus. Squarepoint OPS LLC (CRD 172116): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Performance-based fees", "Other" ], "advisory_activity_labels": [ "Portfolio management for pooled investment vehicles (other than investment companies)", "Portfolio management for businesses (other than small businesses) or institutional clients", "Selection of other advisers (including private fund managers)" ], "quick_answers": [ { "q": "How is Squarepoint OPS LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Squarepoint OPS LLC reports these compensation arrangements: a percentage of assets under its management; performance-based fees; other. The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Squarepoint OPS LLC located?", "a": "Squarepoint OPS LLC's principal office is in New York, NY, according to its Form ADV; the September 2026 filing also lists 3 other offices (Schedule D, Section 1.F)." }, { "q": "Is Squarepoint OPS LLC registered with the SEC or a state?", "a": "Squarepoint OPS LLC is an SEC-registered investment advisory firm, registered since 2014. Status as filed: Approved. CRD 172116." }, { "q": "How much does Squarepoint OPS LLC manage?", "a": "Squarepoint OPS LLC reports $226,980,317,646 in regulatory assets under management in its Form ADV filing dated August 7, 2026 (100% discretionary)." }, { "q": "How have Squarepoint OPS LLC's assets and staff changed since 2021?", "a": "In the Form ADV data for Squarepoint OPS LLC: Regulatory assets under management: $36,234,194,403 in the October 2021 data and $226,980,317,646 in the October 2026 data, up 526%. Total employees: 620 in October 2021 and 69 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Squarepoint OPS LLC serve?", "a": "By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (27); charitable organizations (1)." }, { "q": "Does Squarepoint OPS LLC report any disciplinary disclosures?", "a": "Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation) and 11.D(4) (another regulator's order in the past ten years). 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/172116" }, { "q": "What changed in Squarepoint OPS LLC's recent Form ADV filings?", "a": "In the September 2026 filing data: Updated its list of owners and control persons (Schedule A)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 36234194403.0, "total_employees": 620, "filing_date": "2021-08-17" }, { "period": "2022-10-01", "regulatory_assets_under_management": 75716520593.0, "total_employees": 725, "filing_date": "2022-08-18" }, { "period": "2023-10-01", "regulatory_assets_under_management": 72711083719.0, "total_employees": 192, "filing_date": "2023-09-06" }, { "period": "2024-10-01", "regulatory_assets_under_management": 126503267069.0, "total_employees": 218, "filing_date": "2024-03-29" }, { "period": "2025-10-01", "regulatory_assets_under_management": 182225095221.0, "total_employees": 71, "filing_date": "2025-07-21" }, { "period": "2026-10-01", "regulatory_assets_under_management": 226980317646.0, "total_employees": 69, "filing_date": "2026-08-07" } ], "recent_changes": [ { "period": "2026-09-01", "period_label": "September 2026", "notes": [ "Updated its list of owners and control persons (Schedule A)." ] }, { "period": "2026-05-01", "period_label": "May 2026", "notes": [ "Updated its list of owners and control persons (Schedule A)." ] }, { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Regulatory assets under management went from $182,225,095,221 to $226,980,317,646 (+25%).", "Employees performing advisory functions went from 51 to 61.", "Changed its office addresses in Houston, TX.", "Changed its office addresses in Los Angeles, CA.", "Added an office in Denver, CO.", "No longer lists an office in Chicago, IL.", "Registered or notice-filed in CO.", "Updated its list of owners and control persons (Schedule A)." ] } ], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/squarepoint-ops-llc-new-york-ny-172116.md", "clients": [ { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 27, "fewer_than_5": false, "raum": 226959934850.0 }, { "type": "charitable", "label": "Charitable organizations", "count": 1, "fewer_than_5": true, "raum": 20382796.0 } ], "disclosure_line": "Reports 2 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/172116", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }