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Walleye
Manager file

Walleye Capital LLC

An SEC-registered investment adviser with USD 52.10 billion of regulatory assets, registered since 2018, that manages 1 insurance-dedicated fund in our database. This file brings together those funds and what the adviser reports to the SEC about itself.

SEC file801-113731
CRD161413
Regulatory assetsUSD 52.10 billion
Funds with an IDF Form D1
Registered since2018
Ask about these fundsForm ADV on IAPDAll managers
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Manager Rating
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Editorial assessment on UHNW criteria
Reviewed 4 November 2026 · Q4 2026 edition
Updated every quarter
Research byPPLI.com Fund IntelligenceResearch desk
About the rating
The funds

Insurance-dedicated funds managed by Walleye

Funds and platform series in our database that file a Form D under an insurance-dedicated name and are managed by this adviser. Gross assets are as reported in the latest Form ADV that lists each fund.

Walleye
Walleye Horizon IDFHedge fund: multi-strategy / multi-manager · SALI platformUSD 32.0 millionRating in preparation
The rating

The rating of Walleye Capital LLC

The rating looks only at the areas below, which matter to a family holding this manager's funds through a private placement policy. Past returns play no part: these funds do not report them in their SEC filings, and they say little about what a policy will earn.

Conduct and regulatory record

What regulators and courts have recorded against the manager, and for platform series against the platform, as the advisers report it to the SEC. Several proceedings on one set of facts count as one matter. Recent and serious matters count most, matters of other companies in the group count for less, matters of individuals are weighed by the person's role and their bearing on the business, and the size of the firm is taken into account.

Reported controls

What the adviser reports to the SEC for the fund: whether the accounts are audited every year by an accountant registered with the PCAOB and subject to its regular inspection, whether audited statements go to investors and what the audit opinion says, whether the administrator and custodian are outside the adviser's group, and what share of the assets was valued last year by a person not related to the adviser.

Depth and experience of the manager

The assets the manager runs, its investment staff and how long it has been registered with the SEC.

Investor experience. What policyholders, insurers and advisers tell us is shown separately and never changes the stars. A factual point they raise is checked against the filings, and if it holds, the data is corrected. We never publish names. Tell us about yours

The rating expresses the opinion of PPLI.com on the date shown. It is not a statement of fact about the fund or its manager, not a credit rating, not a forecast of returns and not investment advice. Read about the rating.

The adviser at a glance

Registration and size

Identity

Legal nameWalleye Capital LLC
SEC registrationRegistered investment adviser, 801-113731  IAPD
CRD number161413
Latest Form ADV28 September 2026  ADV
Registered with the SEC since30 July 2018

Assets and staff, as filed

Regulatory assets under managementUSD 52,105,000,000
Of which discretionaryUSD 52,105,000,000
Employees380
Of which investment advisory staff138
Private funds listed in Schedule D5

Regulatory assets are calculated under the SEC's Form ADV instructions and include all funds and accounts the adviser manages, not only those open to insurers. Figures come from the SEC's adviser files of November 2026.

The record

Regulatory and legal record

What the adviser itself discloses in Item 11 of its Form ADV, summarised from the disclosure pages, with a link to the filing. Item 11 is filed for the adviser as a whole, so under each matter the fund it concerns is read from the disclosure itself.

20217 September 2021

Regulatory action by Commodity Futures Trading Commission: civil penalty

Fund concerned: none named in the filing. The matter concerns the adviser itself, not a specific fund, and none of the insurance-dedicated funds in this file is named.

During December 2018 and May 2019, a trader who was at the time employed by Walleye Capital entered orders in certain soybean complex Futures contracts with the intent to cancel those orders before their execution-specifically, soybean Futures, soybean meal Futures, and soybean oil Futures contracts traded on the Chicago Board of Trade. The trader's Conduct violated Section 4c(a)(5)(c) of the Commodity Exchange Act.

Commodity Futures Trading Commission · Settled 12 December 2022 · USD 550,000 · Concerns the adviser itself · Form ADV, Item 11 disclosure

These are the matters Walleye Capital LLC reports in Item 11 of its Form ADV, filed 28 September 2026. A reported matter is a fact disclosed by the adviser, not a finding by PPLI.com. None of them concerns the insurance-dedicated funds listed above.

Reader rating

How would you rate Walleye Capital LLC?

Tap a star to give your own rating, from one to five, then add your name and email and, if you wish, a comment. Reader ratings are shown separately and never change the PPLI.com Manager Rating, which rests only on what the filings report.

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Your name and email are used only if the research desk needs to reply, and are never published. Comments go to the desk, which checks any factual point against the filings.

Sources

  1. Form ADV of Walleye Capital LLC, filed 28 September 2026: reports.adviserinfo.sec.gov, CRD 161413
  2. Adviser summary: adviserinfo.sec.gov/firm/summary/161413
  3. SEC investment adviser files, November 2026, for assets, staff and registration dates
  4. Form D filings of each fund listed: sec.gov EDGAR

About this file

Prepared by the PPLI.com research desk from the public filings listed, checked on 4 November 2026. Updated every quarter, or sooner when a new filing appears. To report an error, write to [email protected] with the filing that shows it.

Important. Educational research only, not an offer or a recommendation. A matter reported in Form ADV is a fact disclosed by the adviser, not a finding by PPLI.com.

File Walleye Capital LLCChecked 4 November 2026Published 4 November 2026
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