Gerald Cummins
Compliance Officer bei OXFORD SQUARE CAPITAL CORP.
Profil
Mr. Cummins has served as Chief Compliance Officer pursuant to an agreement between Oxford Funds and ACA Group (“ACA”) and, prior to their merger, Foreside Consulting Service, LLC (“Foreside”), compliance consulting firms.
Mr. Cummins currently serves as the Chief Compliance Officer of Oxford Funds, LLC, Oxford Park Income Fund, Inc., Oxford Park Management, LLC, Oxford Square Capital Corp., Oxford Square Management, LLC, Oxford Lane Capital Corp., Oxford Lane Management, LLC, and Oxford Gate Management, LLC.
Mr. Cummins has been a director of ACA/Foreside since June 2014 and in that capacity, he also serves as the Chief Compliance Officer to three unaffiliated business development companies.
Prior to joining ACA/Foreside, Mr. Cummins was a consultant for Barclays Capital Inc. from 2012 to 2013, where he participated in numerous compliance projects on pricing and valuation, compliance assessments, and compliance policy and procedure development.
Prior to his consulting work at Barclays, Mr. Cummins was from 2010 to 2011 the COO and the CCO for BroadArch Capital and from 2009 to 2011 the CFO and CCO to its predecessor New Castle Funds, a long-short equity asset manager.
Prior to that, Mr. Cummins spent 25 years at Bear Stearns Asset Management, where he was a Managing Director and held senior compliance, controllers, and operations risk positions.
Mr. Cummins graduated with a B.A.
in Mathematics from Fordham University.
Aktive Positionen von Gerald Cummins
| Unternehmen | Position | Beginn |
|---|---|---|
| OXFORD SQUARE CAPITAL CORP. | Compliance Officer | 24.06.2015 |
| OXFORD LANE CAPITAL CORP. | Compliance Officer | 01.06.2015 |
Alaric Compliance Services LLC
 Alaric Compliance Services LLC Investment ManagersFinance Alaric Compliance Services LLC engages in the provision of compliance advice and services. Its solutions include investment services, investment companies, business development companies, private fund managers, broke-dealers, Turnkey solutions, and technology solutions. The company was founded in 2004 and is headquartered in New York, NY. | Director/Board Member | 01.06.2014 |
Oxford Bridge Management LLC
 Oxford Bridge Management LLC Investment ManagersFinance Part of Oxford Funds LLC, Oxford Bridge Management LLC provides investment advice. The private company is based in Greenwich, CT. Jonathan H. Cohen has been the CEO of the company since 2015. | Compliance Officer | - |
Oxford Square Management LLC
 Oxford Square Management LLC Investment ManagersFinance Oxford Square Management LLC (Oxford Square) is a private equity firm founded in 2003. The firm is headquartered in Greenwich, Connecticut. | Compliance Officer | 01.06.2015 |
| Oxford Gate Management, LLC | Compliance Officer | - |
SIH ACA Topco LP
 SIH ACA Topco LP Investment ManagersFinance SIH ACA Topco LP is a governance, risk, and compliance advisor in financial services. SIH ACA Topco is based in New York, NY and has subsidiaries in the United States. The company empowers clients to reimagine GRC and protect and grow their business by integrating advisory, managed services, and distribution solutions with their ComplianceAlpha® regulatory technology platform. The company has a team of former regulators and practitioners with a deep understanding of the regulatory landscape. The company was founded in 2002, and Patrick Michael Olson has been the CEO of the company since 2023. | Director/Board Member | 01.05.2022 |
Ehemalige bekannte Positionen von Gerald Cummins
| Unternehmen | Position | Ende |
|---|---|---|
New Castle Funds LLC
 New Castle Funds LLC Investment ManagersFinance Founded in 2008, New Castle Funds LLC is a hedge fund manager located in White Plains, New York with an additional office in New York City. They manage the New Castle Partners (Offshore) LLC, the New Castle Partners (US) LP, the New Castle Market Neutral Offshore Fund Ltd., the New Castle Market Neutral Fund (US) LP, the New Castle Fallen Angels (Offshore) Fund Ltd., the New Castle Fallen Angels (US) LP, the New Castle Millennium LP and the New Castle Millennium II LP. | Director of Finance/CFO | 30.12.2011 |
BroadArch Capital LLC
 BroadArch Capital LLC Investment ManagersFinance Founded in 2010 by Robert Reitzes and Scott Merves, BroadArch Capital LLC is a hedge fund manager located in White Plains, New York with an additional office in New York City. | Compliance Officer | 30.09.2011 |
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Ausbildung von Gerald Cummins
| Fordham University | Undergraduate Degree |
Erfahrungen
Besetzte Positionen
Aktive
Inaktive
Börsennotierte Unternehmen
Private Unternehmen
Beziehungen
Beziehungen ersten Grades
Unternehmen ersten Grades
Herr
Frau
Aufsichtsräte
Führungskräfte
Unternehmensverbindungen
| Private Unternehmen | 11 |
|---|---|
Bear Stearns Asset Management, Inc.
 Bear Stearns Asset Management, Inc. Investment ManagersFinance Bear Stearns Asset Management Inc (Bear Stearns) is a Private Equity/Venture Capital firm, a subsidiary of The Bear Stearns Cos LLC founded in 1985. The firm is headquartered in the US. | Finance |
Oxford Square Capital Corp.
 Oxford Square Capital Corp. Investment ManagersFinance Oxford Square Capital Corp., a traded business development company invests in middle market companies located in the United States with annual revenues up to USD 200 million and an enterprise value of more than USD 300 million. The fund targets companies operating in the fields of technology services, computer software and hardware, consumer services, communications, and electronic technology. It provides debt and equity financing for buyout capital requirements with an investment size ranging from USD 5 to 50 million. The fund acquires minority interests. The company was founded on July 21, 2003 and is headquartered in Greenwich, CT. | Finance |
Oxford Lane Capital Corp.
 Oxford Lane Capital Corp. Investment Trusts/Mutual FundsMiscellaneous Oxford Lane Capital Corp. is a closed-end management investment company, which engages in maximizing total return by investing in debt and equity tranches of collateralized loan obligation vehicles. The company was founded on June 9, 2010 and is headquartered in Greenwich, CT. | Miscellaneous |
Oxford Square Management LLC
Oxford Square Management LLC Investment ManagersFinance Oxford Square Management LLC (Oxford Square) is a private equity firm founded in 2003. The firm is headquartered in Greenwich, Connecticut. | Finance |
New Castle Funds LLC
New Castle Funds LLC Investment ManagersFinance Founded in 2008, New Castle Funds LLC is a hedge fund manager located in White Plains, New York with an additional office in New York City. They manage the New Castle Partners (Offshore) LLC, the New Castle Partners (US) LP, the New Castle Market Neutral Offshore Fund Ltd., the New Castle Market Neutral Fund (US) LP, the New Castle Fallen Angels (Offshore) Fund Ltd., the New Castle Fallen Angels (US) LP, the New Castle Millennium LP and the New Castle Millennium II LP. | Finance |
Alaric Compliance Services LLC
Alaric Compliance Services LLC Investment ManagersFinance Alaric Compliance Services LLC engages in the provision of compliance advice and services. Its solutions include investment services, investment companies, business development companies, private fund managers, broke-dealers, Turnkey solutions, and technology solutions. The company was founded in 2004 and is headquartered in New York, NY. | Finance |
BroadArch Capital LLC
BroadArch Capital LLC Investment ManagersFinance Founded in 2010 by Robert Reitzes and Scott Merves, BroadArch Capital LLC is a hedge fund manager located in White Plains, New York with an additional office in New York City. | Finance |
Investcorp Credit Management BDC, Inc.
 Investcorp Credit Management BDC, Inc. Investment ManagersFinance Investcorp Credit Management BDC, Inc. a traded business development company invests in lower middle market companies located in the US. The fund focuses on companies with minimum revenues of $50 million and minimum EBITDA of $15 million. It participates in debt, mezzanine, buyout, and later stage capital requirements with an investment size between $5 and $25 million. The company was founded in the year 2013 and is headquartered in New York, NY. | Finance |
Oxford Bridge Management LLC
Oxford Bridge Management LLC Investment ManagersFinance Part of Oxford Funds LLC, Oxford Bridge Management LLC provides investment advice. The private company is based in Greenwich, CT. Jonathan H. Cohen has been the CEO of the company since 2015. | Finance |
| Oxford Gate Management, LLC | |
SIH ACA Topco LP
SIH ACA Topco LP Investment ManagersFinance SIH ACA Topco LP is a governance, risk, and compliance advisor in financial services. SIH ACA Topco is based in New York, NY and has subsidiaries in the United States. The company empowers clients to reimagine GRC and protect and grow their business by integrating advisory, managed services, and distribution solutions with their ComplianceAlpha® regulatory technology platform. The company has a team of former regulators and practitioners with a deep understanding of the regulatory landscape. The company was founded in 2002, and Patrick Michael Olson has been the CEO of the company since 2023. | Finance |
