BFINANCE US LTD.
Adviser information for BFINANCE US LTD. last updated from Form ADV on February 19th, 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 |
|---|---|
| Fiscal Year End | MARCH |
| Legal Location | United Kingdom |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 5 |
| 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 | No |
|---|
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 | 0 | $0 |
| Pension and profit sharing plans | <5 | $0 |
| Charitable organizations | <5 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | <5 | $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 | 4 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Selection of other advisers (including private fund managers)INVESTMENT STRATEGY CONSULTING FOR OTHER INVESTMENT ADVISERS |
|---|---|
| Compensation | Fixed feesCommissions |
| Other Business Activities | Broker-dealer |
Identifiers
| SEC RIA File Number | 801-113782 |
|---|---|
| SEC ERA File Number | 801-113782 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 159903 |
| Legal Entity Identifier | None |
Principal Office
36 QUEEN STREETLONDON
United Kingdom
Monday - Friday, 9:00 AM - 5:00 PM
Tel: +442077478600, Fax: None
Chief Compliance Officer
DAVID VAFAI
CHIEF EXECUTIVE OFFICER
36 QUEEN STREET
LONDON
United Kingdom
Tel:
+44 (207) 747 8600
D*****@**************M
(Full email address available in API data)
Regulatory Contact
GUY HOPGOOD
DIRECTOR, CLIENT CONSULTING
220 NORTH GREEN STREET
CHICAGO
IL
United States
Tel:
+1 (312) 300 0727
G*******@**************M
(Full email address available in API data)
Industry Affiliates
| BFINANCE UK LTD | Other investment adviser, including financial planners |
| REDBRIDGE GLOBAL MARKETS, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BFINANCE INTERNATIONAL LIMITED | Foreign Entity | – | PARENT COMPANY | 09/2011 | > 75% |
| VAFAI, DAVID | Individual | – | CEO/CCO | 09/2011 | < 5% |
| GERVAISE-JONES, SAMUEL | Individual | – | PRINCIPAL | 09/2011 | < 5% |
| BFINANCE ACQUISITION LIMITED | Foreign Entity | BFINANCE INTERNATIONAL LIMITED | OWNER | 03/2009 | > 75% |
| BFINANCE HOLDINGS LIMITED | Foreign Entity | BFINANCE ACQUISITION LIMITED | OWNER | 03/2009 | > 75% |
| LUTEA TRUSTEES LIMITED | Foreign Entity | HAMSARD 3678 LIMITED | OWNER | 02/2023 | 50-75% |
| GEORGE, KENNETH RONALD | Individual | – | FINOP/CFO | 12/2012 | < 5% |
| VAFAI, DAVID | Individual | LUTEA TRUSTEES LIMITED | BENEFICIARY | 10/1999 | |
| BFINANCE GROUP HOLDING LIMITED | Foreign Entity | BFINANCE HOLDINGS LIMITED | OWNER | 04/2016 | > 75% |
| HAMSARD 3678 LIMITED | Foreign Entity | HAMSARD 3689 LIMITED | OWNER | 02/2023 | > 75% |
| HAMSARD 3689 LIMITED | Foreign Entity | BFINANCE GROUP HOLDINGS LIMITED | OWNER | 02/2023 | > 75% |