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LMR Partners Limited: investment adviser
LMR Partners Limited is an investment adviser registered with the SEC (file 802-107179, CRD 282637). 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 Partners (Offshore) Ltd | Company (outside the U.S.) | Shareholder | 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 | Company (outside the U.S.) | F General partner, trustee or managing member | Yes | |
| Ben Leslie Levine | Lgi | 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 | Company (outside the U.S.) | C 25% to 50% | Yes | |
| Stefan Andreas Renold | LMR Partners | 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)
- May 14, 2026Regulatory Action: Korean Securities and Futures Commission FinalSanctions: Civil and Administrative Penalt(ies) /Fine(s) · Fine: $15,695 · Begun May 14, 2026 · Resolved May 14, 2026 · Order · Docket N/A
Allegation that on December 9, 2021, LMR Partners Limited short sold shares of a Korean-listed issuer, which it did not own.
On May 14, 2026, the Korean Securities and Futures Commission imposed an administrative penalty of approximately $15,695 on LMR Partners Limited ("LMR HK") in connection with a trade executed by LMR HK on December 9, 2021, which inadvertently resulted in an uncovered short position in the securities of an issuer listed on the korea exchange. The short position was the result of a manual operational error, which was quickly remediated and the position covered. No information Filed
- Sep 9, 2024Regulatory Action: Korean Securities and Futures Commission FinalSanctions: Civil and Administrative Penalt(ies) /Fine(s) · Fine: $3,870 · Begun Sep 9, 2024 · Resolved Sep 9, 2024 · Order · Docket N/A
Allegation that on November 22, 2021, LMR Partners Limited short sold shares of a Korean-listed issuer, which it did not own.
13.on September 9, 2024, the Korean Securities and Futures Commission imposed an administrative penalty of approximately $3,870 on LMR Partners Limited ( "LMR HK") in connection with a trade executed by LMR HK on November 22, 2021, which inadvertently resulted in an uncovered short position in the securities of an issuer listed on the korea exchange. The short position was the result of a manual operational error, which was quickly remediated and the position covered.
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 LLP
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.