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Clearance Capital Ltd: investment adviser
Clearance Capital Ltd is an investment adviser registered with the SEC (file 802-79533, CRD 166644). 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
- 1
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 |
|---|---|---|---|---|---|---|
| Clearance Capital (Cayman) Limited | Company (outside the U.S.) | Sole shareholder | E 75% or more | Aug 2008 | Yes |
Indirect owners (Schedule B)
| Owner | Owns a stake in | Type | Stake | Control | Public company |
|---|---|---|---|---|---|
| NWT Trustees Ltd | Merlins Trust | Company (outside the U.S.) | F General partner, trustee or managing member | Yes | |
| Merlins Trust | Whippersnapper | Company (outside the U.S.) | E 75% or more | Yes | |
| Whippersnapper Limited | Clearance | Company (outside the U.S.) | D 50% to 75% | 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 (1)
- Jun 5, 2018Regulatory Action: Swedish Finansinspektionen FinalSanctions: Civil and Administrative Penalt(ies) /Fine(s); No other sanction · Fine: $1,634 · Begun May 15, 2018 · Resolved Jun 5, 2018 · Decision · Docket 17-15403, 18-2339, 17-12600
The firm submitted private notifications of net short positions after the deadline of 15H30 on t+1 to the Swedish inspektionen on June 5, September 4, and October 3, 2017. The notifications were submitted on the correct day. No public disclosure of the net short positions was required. The regulatory action were resolved on June 5, 2018 when the firm accepted the Swedish inspektionen's decision of May 15, 2018 to levy a penalty fee of SEK14,300 (US$1,634).
The firm submitted private notifications of net short positions after the deadline of 15H30 on t+1 to the Swedish inspektionen on June 5, September 4, and October 3, 2017. The notifications were submitted on the correct day. No public disclosure of the net short positions were required. The regulatory action was resolved on June 5, 2018 when the firm accepted the Swedish inspektionen's decision of May 15, 2018 to levy a penalty fee of SEK14,300 (US$1,634). The firm instituted controls and enhanced procedures to ensure consistent compliance with the regulatory deadline once the breach was identified. There has not been a recurrence subsequently. No information Filed
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.