FIRST SENTIER INVESTORS (UK) IM LIMITED
Adviser information for FIRST SENTIER INVESTORS (UK) IM LIMITED last updated from Form ADV on March 14th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
Type of Organization | Corporation |
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Fiscal Year End | DECEMBER |
Legal Location | United Kingdom |
Employees
Total Number of Employees | 368 |
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Investment Advisory/Research | 69 |
Registered Broker-Dealer Representatives | 2 |
Registered State Investment Advisers | 0 |
Licensed Agents of an Insurance Company | 0 |
No. of Firms/People that Solicit Clients | 0 |
RAUM
Provides Management of Securities Portfolios | Yes |
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Type | Accounts | RAUM |
---|---|---|
Discretionary | 30 | $18.7B |
Non-Discretionary | 0 | $0 |
Total | 30 | $18.7B |
Clients
Type | Number | RAUM |
---|---|---|
Individuals | 0 | $0 |
HNW Individuals | 0 | $0 |
Banking or thrift institutions | 0 | $0 |
Investment companies | 0 | $0 |
Business development companies | 0 | $0 |
Pooled investment vehicles | 28 | $18.6B |
Pension and profit sharing plans | 2 | $155.9M |
Charitable organizations | 0 | $0 |
State or municipal gov entities | 0 | $0 |
Other investment advisers | 0 | $0 |
Insurance companies | 0 | $0 |
Sovereign wealth funds and foreign official institutions | 0 | $0 |
Corporations or other businesses | 0 | $0 |
Other | 0 | $0 |
Type | Number |
---|---|
No. of Non-RAUM Clients | 0 |
No. of Non-U.S. Clients | 100 |
Services
Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
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Compensation | % of AUMPerformance-based fees |
Identifiers
SEC RIA File Number | 801-106688 |
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SEC ERA File Number | 801-106688 |
SEC CIK Numbers | None |
SEC CRD Numbers | 281323 |
Legal Entity Identifier | None |
Principal Office
23 ST ANDREW SQUAREEDINBURGH
United Kingdom
Monday - Friday, 0800GMT-1800GMT
Tel: +44 (0)131 473 2200, Fax: None
Websites
Chief Compliance Officer
PETER HAWKINS
HEAD OF REGULATORY COMPLIANCE EMEA
FINSBURY CIRCUS HOUSE
15 FINSBURY CIRCUS
LONDON
United Kingdom
Tel:
+44 (0) 2073326593
P************@***************M
(Full email address available in API data)
Regulatory Contact
JEFF SCHMIDT
HEAD OF REGULATORY COMPLIANCE, AMERICAS
10 EAST 53RD STREET
21ST FLOOR
NEW YORK
NY
United States
Tel:
+1 502-912-5517
J***********@***************M
(Full email address available in API data)
Industry Affiliates
ALBACORE CAPITAL LLP | Other investment adviser, including financial planners |
FIRST SENTIER INVESTORS | Other investment adviser, including financial planners |
FIRST SENTIER INVESTORS | Other investment adviser, including financial planners |
FIRST SENTIER INVESTORS | Other investment adviser, including financial planners |
FIRST SENTIER INVESTORS | Other investment adviser, including financial planners |
FIRST SENTIER INVESTORS (HONG KONG) LIMITED | Other investment adviser, including financial planners |
FIRST SENTIER INVESTORS (IRELAND) LIMITED | Other investment adviser, including financial planners |
FIRST SENTIER INVESTORS (JAPAN) LIMITED | Other investment adviser, including financial planners |
FIRST SENTIER INVESTORS (SINGAPORE) | Other investment adviser, including financial planners |
FIRST SENTIER INVESTORS (UK) FUNDS LIMITED | Other investment adviser, including financial planners |
FIRST SENTIER INVESTORS (US) LLC | Other investment adviser, including financial planners |
FIRST SENTIER INVESTORS INTERNATIONAL IM LIMITED | Other investment adviser, including financial planners |
FIRST SENTIER INVESTORS REALINDEX PTY LIMITED | Other investment adviser, including financial planners |
MITSUBISHI UFJ TRUST AND BANKING CORPORATION | Other investment adviser, including financial plannersBanking or thrift institutionTrust companyInsurance company or agencyReal estate broker or dealer |
Private Funds
Name | Type | Assets $USD | Min Investment $USD | No. Owners |
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None
Control Persons
Name | Type | Entity | Title | Since | Ownership |
---|---|---|---|---|---|
FIRST SENTIER INVESTORS UK HOLDINGS LIMITED | Foreign Entity | S.I. HOLDINGS | SHAREHOLDER | 03/2000 | > 75% |
S.I. HOLDINGS | Foreign Entity | – | SHAREHOLDER | 07/1988 | > 75% |
Kubitscheck, Vicky Wai-Choo | Individual | – | NON-EXECUTIVE DIRECTOR | 07/2018 | < 5% |
MITSUBISHI UFJ FINANCIAL GROUP, INC | Foreign Entity | MITSUBISHI UFJ TRUST AND BANKING CORPORATION | SHAREHOLDER | 08/2019 | > 75% |
MITSUBISHI UFJ TRUST AND BANKING CORPORATION | Foreign Entity | FIRST SENTIER INVESTORS HOLDINGS PTY LIMITED | SHAREHOLDER | 08/2019 | > 75% |
FIRST SENTIER INVESTORS HOLDINGS PTY LIMITED | Foreign Entity | FIRST SENTIER INVESTORS UK HOLDINGS LIMITED | SHAREHOLDER | 08/2019 | > 75% |
HAWKINS, PETER, JOHN | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2019 | < 5% |
Steinberg, Mark, David | Individual | – | GLOBAL CHIEF EXECUTIVE OFFICER | 10/2019 | < 5% |
COTTON, GARY, NICHOLAS | Individual | – | MANAGING DIRECTOR EMEA, CHIEF OF STAFF AND CHAIRMAN | 12/2020 | < 5% |
Evans, Suzanne, Clare | Individual | – | GLOBAL CHIEF FINANCIAL AND STRATEGY OFFICER | 01/2021 | < 5% |
Johnson, Christine, Elaine | Individual | – | INDEPENDENT NON-EXECUTIVE DIRECTOR | 03/2021 | < 5% |
Warburton, Lisa, Jane | Individual | – | GROUP GENERAL COUNSEL | 03/2022 | < 5% |
Daniel, Jane, Philippa Louise | Individual | – | DIRECTOR AND CHIEF RISK OFFICER | 04/2023 | < 5% |
Gazal, Amanda, Renee | Individual | – | CHIEF OPERATING OFFICER | 02/2024 | < 5% |