Third Moment Fund Series
| Attribute | Detail |
|---|---|
| Fund Name | Third Moment Fund Series |
| Structure | Quantitative hedge fund |
| Gross Asset Value | $578,038,700 |
| Manager | EntryPoint Capital, LLC |
| Regulatory Status | Registered Investment Adviser (RIA) — SEC-regulated |
| Strategy | Systematic / quantitative approach to equity markets |
| Control Person | Bleich, Michael (via EntryPoint Partners, LP) |
EntryPoint Capital operates as a Registered Investment Adviser, regulated by the SEC under the Investment Advisers Act of 1940. This is a distinct regulatory regime from the broker-dealer framework overseen by FINRA.
The FINRA permanent bar issued to Bleich, Michael prohibits association with any FINRA member firm (i.e., broker-dealers). However, RIAs are not FINRA member firms. This structural distinction is the mechanism by which the subject operates in capital markets — managing $578 million — despite a lifetime industry bar.
Whether this constitutes legitimate regulatory compliance or a form of regulatory arbitrage is an open question in this investigation.
Office Address
Primary Residence
Property records identify 13 Harrison Street, Unit 1 (Tribeca, Manhattan) as the subject's primary residence and core real estate holding.
The property is encumbered by a $2.88M mortgage, reflecting a loan-to-value ratio of approximately 51%. The subject's spouse, Alexis K.G., is identified as a co-obligor on the mortgage.