Illegal Activity
none
Blackmail
none
Date
2009-08
Document Type
other
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:41
Summary
The document outlines the business activities, compliance measures, and supervisory structure of Alkeon, SilverBay, and Breakwater. It details the roles of key personnel like Greg Jakubowsky and Jennifer Shufro in ensuring compliance with Alkeon's Code of Ethics.
Metadata
- Subject
- Disciplinary Information, Other Business Activities, Additional Compensation, Supervision, Requirements for State-Registered Advisers
- Sender
- —
- Recipients
- —
- Document ID
- DB-SDNY-0068681
- Date
- 2009-08
Relationships 4
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| Alkeon | Ownership | SilverBay Capital Management, LLC | Alkeon is the sole Member of SilverBay Capital Management, LLC. |
| Alkeon | Affiliation | Breakwater Group, LLC | Some of Alkeon's personnel are registered representatives and employees of Breakwater Group, LLC, a broker-dealer that may be deemed to be affiliated with Alkeon. |
| Greg Jakubowsky | Employment | Alkeon | Greg Jakubowsky is Alkeon's Chief Compliance Officer. |
| Jennifer Shufro | Employment | Alkeon | Jennifer Shufro is Alkeon's Managing Director of Legal and Compliance. |
Raw Analysis JSON
click to expand
Themes
Business dealingsFinancial transactions/money flowLegal matters/litigationEmployment/staffing
People 3
Organizations 9
AGP LPAlpha Group CapitalAlkeonSilverBay Capital Management, LLCSECACAP Strategic FundBluepoint Investment Series TrustBreakwater Group, LLCFINRA
Locations 1
Delaware
Text Analysis
- Tone
- Informative
- Purpose
- To provide information about disciplinary actions, other business activities, compensation, and supervision related to Alkeon and its affiliated entities.
- Significance
- This document provides details about the structure and operations of Alkeon and its related entities, including SilverBay and Breakwater, and outlines the supervision and compliance measures in place.
File Info
- File Name
- EFTA01374136.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:41:01.021632
- DOJ Source
- View on DOJ