NAU SECURITIES LIMITED
Adviser information for NAU SECURITIES LIMITED last updated from Form ADV on May 19th, 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 | DECEMBER |
| Legal Location | United Kingdom |
Employees
| Total Number of Employees | 8 |
|---|---|
| Investment Advisory/Research | 7 |
| 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 | 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 | 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 | 70 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 59 |
| No. of Non-U.S. Clients | 60 |
Services
| Advisory Services | RESEARCH |
|---|---|
| Compensation | Subscription feesFixed fees |
Identifiers
| SEC RIA File Number | 801-120044 |
|---|---|
| SEC ERA File Number | 801-120044 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 311695 |
| Legal Entity Identifier | 213800GHPH22L6WLB679 |
Principal Office
MICHELIN HOUSE, 81 FULHAM ROADLONDON
United Kingdom
Monday - Friday, 9:00 AM TO 5:00 PM
Tel: 44 20 7947 5510, Fax: 44 20 3043 0009
Chief Compliance Officer
JOHN N. FERREIRA
CHIEF EXECUTIVE OFFICER
MICHELIN HOUSE, 81 FULHAM ROAD
LONDON
United Kingdom
Tel:
+44 20 7947 5510
Fax:
44 20 3043 0009
J***********@*****************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| FERREIRA, JOHN, NELSON | Individual | – | CHIEF EXECUTIVE OFFICER, EXECUTIVE DIRECTOR, CHIEF COMPLIANCE OFFICER | 08/2011 | 50-75% |
| BAPTISTA, PEDRO, MANUEL DE LACERDA | Individual | – | EXECUTIVE DIRECTOR | 08/2011 | 25-50% |
| FERREIRA, DEBORAH, ANN | Individual | – | COMPANY SECRETARY | 08/2011 | 5-10% |
| Vega, Inigo | Individual | – | EXECUTIVE DIRECTOR | 01/2022 | < 5% |
| MacDonald, Marilyn | Individual | – | EXECUTIVE DIRECTOR | 02/2022 | < 5% |
| Dawson, Julia, Emma | Individual | – | EXECUTIVE DIRECTOR | 02/2022 | < 5% |