SERONE CAPITAL MANAGEMENT LLP
Adviser information for SERONE CAPITAL MANAGEMENT LLP last updated from Form ADV on March 27th, 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 | Limited Liability Partnership |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | United Kingdom |
Employees
| Total Number of Employees | 31 |
|---|---|
| Investment Advisory/Research | 14 |
| 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 | 18 | $2.0B |
| Non-Discretionary | 0 | $0 |
| Total | 18 | $2.0B |
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 | 10 | $1.3B |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | <5 | $291.9M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | <5 | $318.4M |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | <5 | $48.7M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 61 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-108895 |
|---|---|
| SEC ERA File Number | 801-108895 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 174288 |
| Legal Entity Identifier | 549300RMHOXXJ6MSE075 |
Principal Office
110 CANNON STREETLONDON
United Kingdom
Monday - Friday, 08:00-18:00
Tel: 44 20 3405 7350, Fax: 44 20 3191 9315
Chief Compliance Officer
SERGEY LIKHOSHERSTOV
110 CANNON STREET
LONDON
United Kingdom
Tel:
44 20 3405 7371
S*******************@****************M
(Full email address available in API data)
Regulatory Contact
ADRIAN KING
110 CANNON STREET
LONDON
United Kingdom
Tel:
44 20 3405 7354
A**********@****************M
(Full email address available in API data)
Industry Affiliates
| SERONE CAPITAL MANAGEMENT (CAYMAN) LIMITED | Sponsor, GP, manager of pooled investment vehicles |
| SERONE CAPITAL MANAGEMENT GP LIMITED | Sponsor, GP, manager of pooled investment vehicles |
| SERONE CAPITAL MANAGEMENT GP2 LIMITED | Sponsor, GP, manager of pooled investment vehicles |
| SERONE EUROPEAN SPECIAL SITUATIONS GP LIMITED | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| SERONE EC2 MASTER FUND LIMITED | Hedge Fund | $1.1M | $1.0M | 29 |
| SERONE EUROPEAN SPECIAL SITUATIONS MASTER FUND LIMITED | Hedge Fund | $210.7M | $1.0M | 38 |
| SERONE MASTER FUND LTD | Hedge Fund | $1,133.4M | $1.0M | 50 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SERONE CAPITAL MANAGEMENT (UK) LIMITED | Foreign Entity | – | OWNER | 06/2009 | > 75% |
| SERONE CAPITAL MANAGEMENT (CAYMAN) LTD | Foreign Entity | SERONE CAPITAL MANAGEMENT (UK) LIMITED | OWNER | 06/2009 | > 75% |
| SERVIS, NEIL, (NO MIDDLE NAME) | Individual | – | CHIEF EXECUTIVE OFFICER AND OWNER | 06/2009 | 5-10% |
| KING, ADRIAN, NICHOLAS | Individual | – | CHIEF OPERATING OFFICER | 06/2009 | < 5% |
| SERVIS, NEIL, (NO MIDDLE NAME) | Individual | SERONE CAPITAL MANAGEMENT (CAYMAN) LTD | OWNER | 06/2009 | 25-50% |
| WALIA, SARBJIT, SINGH | Individual | – | CHIEF INVESTMENT OFFICER | 02/2012 | < 5% |
| McLean, Alan, Stuart | Individual | – | CHIEF RISK OFFICER | 11/2021 | < 5% |
| LIKHOSHERSTOV, SERGEY, (NMN) | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2023 | < 5% |
| CANEPA SCM HOLDINGS, LTD. | Foreign Entity | SERONE CAPITAL MANAGEMENT (CAYMAN) LTD | OWNER | 12/2020 | 25-50% |
| CANEPA GLOBAL MANAGERS SCS | Foreign Entity | CANEPA SCM HOLDINGS, LTD. | OWNER | 12/2017 | > 75% |
| CGM CAPITAL SPF S.� R.L. | Foreign Entity | CANEPA GLOBAL MANAGERS SCS | LIMITED PARTNER | 12/2022 | 50-75% |
| CTP HOLDINGS LIMITED | Domestic Entity | CGM CAPITAL SPF S.� R.L. | SHAREHOLDER | 07/2023 | > 75% |
| CGM PARTNERS, S.� R.L. | Foreign Entity | CANEPA GLOBAL MANAGERS SCS | GENERAL PARTNER | 12/2017 | |
| RAICES INTERNATIONAL SPF S.� R.L. | Foreign Entity | CGM PARTNERS, S.� R.L. | SHAREHOLDER | 12/2017 | 25-50% |
| BLTM CGM CP, LLC | Foreign Entity | CGM PARTNERS, S.� R.L. | SHAREHOLDER | 12/2023 | 25-50% |
| ESTEGHAMAT, KIAN, (NMN) | Individual | BLTM CGM CP, LLC | SHAREHOLDER | 07/2023 | > 75% |
| QI, QI, (NMN) | Individual | – | CHIEF FINANCIAL OFFICER | 04/2022 | < 5% |
| ESBER, ELIAS, (NMN) | Individual | CGM PARTNERS, S.� R.L. | SHAREHOLDER | 12/2017 | 25-50% |
| RODRIGUEZ, FRANCISCO, FELIX | Individual | RAICES INTERNATIONAL SPF S.� R.L. | SHAREHOLDER | 08/2013 | > 75% |