CAPE ANN ASSET MANAGEMENT
CAPE ANN ASSET MANAGEMENT LIMITED Legal Name
Adviser information for CAPE ANN ASSET MANAGEMENT last updated from Form ADV on November 3rd, 2023. 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 |
|---|---|
| Fiscal Year End | MARCH |
| Legal Location | United Kingdom |
Employees
| Total Number of Employees | 21 |
|---|---|
| Investment Advisory/Research | 9 |
| Registered Broker-Dealer Representatives | 0 |
| 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 |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 5 | $2.1B |
| Non-Discretionary | 0 | $0 |
| Total | 5 | $2.1B |
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 | 4 | $1.9B |
| Pension and profit sharing plans | 0 | $0 |
| 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 | 1 | $111.2M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 5 |
| No. of Non-U.S. Clients | 60 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Principal Office
1 DUKE'S MEWSLONDON
United Kingdom
Monday - Friday, 8AM TO 6PM (GMT)
Tel: 011-44-203-4438480, Fax: None
Chief Compliance Officer
GEOFFREY SUMMERS
DIRECTOR, CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER
1 DUKE'S MEWS
LONDON
United Kingdom
Tel:
011-44-203-4438489
G*******@************M
(Full email address available in API data)
Regulatory Contact
LARA LE PAN DE LIGNY
COMPLIANCE & STEWARDSHIP ANALYST
1 DUKE'S MEWS
LONDON
United Kingdom
Tel:
011-44-203-4438496
L************@************M
(Full email address available in API data)
Industry Affiliates
| SILCHESTER INTERNATIONAL INVESTORS | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| CAPE ANN GLOBAL DEVELOPING MARKETS FUND | LONG ONLY PRIVATELY OFFERED COMMINGLED FUND | $1,616.5M | $2.0M | 123 |
| CAPE ANN PERIVALLON FUND | LONG ONLY PRIVATELY OFFERED COMMINGLED FUND | $36.2M | $2.0M | 7 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SILCHESTER PARTNERS LIMITED | Foreign Entity | – | SHAREHOLDER | 09/2015 | > 75% |
| BUTT, STEPHEN, CHARLES | Individual | SILCHESTER PARTNERS LIMITED | CHAIRMAN | 04/1995 | 50-75% |
| TILK, RAINER | Individual | – | SHAREHOLDER | 02/2016 | 5-10% |
| MANTLE, JACQUELINE | Individual | – | SHAREHOLDER | 02/2016 | 5-10% |
| BELL, JONATHAN | Individual | – | CHAIRMAN, DIRECTOR AND SHAREHOLDER | 12/2015 | 50-75% |
| LYNCH, JOHN, FRANCIS | Individual | – | DIRECTOR AND SHAREHOLDER | 06/2016 | 10-25% |
| VILICNIK, IVANA | Individual | – | DIRECTOR AND SHAREHOLDER | 06/2016 | 5-10% |
| LINEHAN, TIMOTHY, JOHN | Individual | – | DIRECTOR (NON-EXECUTIVE) | 09/2015 | < 5% |
| SUMMERS, GEOFFREY, PETER | Individual | – | CHIEF OPERATING OFFICER, DIRECTOR, SHAREHOLDER AND CHIEF COMPLIANCE OFFICER | 02/2022 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 13th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| CREDICORP LTD | COM | 35M | 215K | – |
| KINROSS GOLD CORP | COM | 32M | 4M | – |
| LUFAX HOLDING LTD | ADS REP SHS CL A | 3M | 1M | – |
| PETROLEO BRASILEIRO SA PETRO | SP ADR NON VTG | 5M | 340K | – |
| TERNIUM SA | SPONSORED ADS | 33M | 868K | – |
| JOYY INC | ADS REPSTG COM A | 10M | 323K | – |