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LMR Partners LLP: investment adviser
LMR Partners LLP is an investment adviser registered with the SEC (file 802-75041, CRD 159639). What it reports on Form ADV: assets and clients, fees, owners, disciplinary history and its client brochure. From the SEC's Investment Adviser Public Disclosure site; read Oct 21, 2026.
- Assets managed
- –
- Discretionary
- –
- Accounts
- –
- Employees
- –
- In advisory roles
- –
- Disclosures
- 4
Company page · SEC adviser record · Full Form ADV (PDF)
The firm reports no custody of client cash or securities.
Form ADV Part 1A, Item 5, as filed on the SEC Investment Adviser Public Disclosure site; read Oct 21, 2026.
Who owns it
Schedule A lists direct owners of 5% or more (and officers who own a stake); Schedule B lists the owners of those owners.
Direct owners (Schedule A)
| Owner | Type | Role | Stake | Since | Control | Public company |
|---|---|---|---|---|---|---|
| LMR Management Services Limited | Company (outside the U.S.) | Partner | E 75% or more | Sep 2009 | Yes |
Indirect owners (Schedule B)
| Owner | Owns a stake in | Type | Stake | Control | Public company |
|---|---|---|---|---|---|
| LMR Partners Management Limited | LMR Partners LP | Company (outside the U.S.) | F General partner, trustee or managing member | Yes | |
| Ben Leslie Levine | Lgi Investments | Person | E 75% or more | Yes | |
| LMR Partners LP | LMR Partners | Company (outside the U.S.) | E 75% or more | Yes | |
| Lgi Investments AG | LMR Partners LP | Company (outside the U.S.) | C 25% to 50% | Yes | |
| Stefan Andreas Renold | LMR Partners LP | Person | C 25% to 50% | Yes |
Form ADV reports ownership in bands, not exact stakes: A means 5% to 10%, B 10% to 25%, C 25% to 50%, D 50% to 75%, E 75% or more. F marks a general partner, trustee or managing member, a role that controls the firm without a percentage. Owners of less than 5% are not listed.
Form ADV Schedules A and B, via the SEC Investment Adviser Public Disclosure site.
Disciplinary history
What the firm disclosed under Item 11 of Form ADV. A disclosure is the firm's own report: pending matters are allegations, not findings, and many settlements are made without admitting or denying them. Text is quoted from the filing, set in sentence case.
Item 11 questions answered Yes
These questions cover the firm and its advisory affiliates.
- Has any other federal regulatory agency, any state regulatory agency, or any foreign financial regulatory authority: ever found you or any advisory affiliate to have been involved in a violation of investment-related regulations or statutes?
Actions about the firm (2)
- Apr 29, 2022Regulatory Action: Federal Financial Supervisory Authority FinalSanctions: Civil and Administrative Penalt(ies) /Fine(s) · Fine: $20,243 · Begun Apr 4, 2022 · Resolved Apr 29, 2022 · Other
On 4 April 2022, LMR received notification from the Federal Financial Supervisory Authority (BAFIN) that it had determined that LMR shall pay a final penalty fee of 19,200eur in relation to the delayed reporting of short positions in german listed securities. Such fee related to six position reports in total (two positions relating to the same name) made during the period August 2019 to September 2020. Four position reports were delayed due to data errors and two due to human error (COVID-19 and public holiday related).
The matter was resolved on April 29, 2022 when LMR paid the above-mentioned penalty fee.
- Oct 2, 2020Regulatory Action: Swedish Financial Supervisory Authority FinalSanctions: Civil and Administrative Penalt(ies) /Fine(s) · Fine: $5,040 · Begun Jun 10, 2020 · Resolved Oct 2, 2020 · Other
On June 10, 2020, LMR received notification from the Swedish Financial Supervisory Authority ("finansinspektionen") that it had determined that LMR shall pay a final penalty fee of approximately £3,800 in relation to the delayed reporting of short positions in a Swedish listed stock on two occasions (May 2018, August 2018). In their notification the Swedish Financial Supervisory Authority noted the extenuating circumstances raised by LMR in submissions made by LMR's legal and compliance team that there had been a technical problem with LMR's email to the regulator's reporting email address and there had been a delay due to a UK public holiday.
The original penalty fee was reduced by 50% due to the long processing of the matter by the Swedish Financial Supervisory Authority and the extenuating circumstances noted above.
Disclosures filed elsewhere
The firm's Form ADV names these and the kind of action only; the details are on the named firm's own filing.
- 2 regulatory action disclosures about LMR Partners Limited
Form ADV Item 11 and its Disclosure Reporting Pages, via the SEC record. All adviser disciplinary records.
The brochure
No brochure text was read for this firm.
Form ADV Part 2A, via the SEC Investment Adviser Public Disclosure site.