VERGENT ASSET MANAGEMENT
VERGENT ASSET MANAGEMENT LLP Legal Name
Adviser information for VERGENT ASSET MANAGEMENT last updated from Form ADV on March 28th, 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 | 10 |
|---|---|
| Investment Advisory/Research | 10 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 3 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 6 | $790.1M |
| Non-Discretionary | 0 | $0 |
| Total | 6 | $790.1M |
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 | 2 | $47.4M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | <5 | $536.4M |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | <5 | $206.3M |
| 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 |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-121079 |
|---|---|
| SEC ERA File Number | 801-121079 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 290165 |
| Legal Entity Identifier | 5493007GSI03F1UYEQ66 |
Principal Office
SOUTHWEST HOUSE, 11A REGENT STREET ST JAMES'SLONDON
United Kingdom
Monday - Friday, 9AM TO 5PM UK TIME
Tel: 44 203 535 8141, Fax: None
Chief Compliance Officer
NEMER BECHARA
MANAGING PARTNER
SOUTHWEST HOUSE, 11A REGENT STREET ST JAMES'S
LONDON
United Kingdom
Tel:
44 203 535 8141
N*******@*************M
(Full email address available in API data)
Regulatory Contact
COLETTE WARD
SENIOR COMPLIANCE MANAGER
SUITE 2300-1111 WEST GEORGIA ST.
VANCOUVER
Canada
Tel:
604-685-2020
C*********@***********M
(Full email address available in API data)
Industry Affiliates
| CONNOR CLARK & LUNN INVESTMENT MANAGEMENT LTD | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| CONNOR, CLARK & LUNN PRIVATE CAPITAL LTD. | Other investment adviser, including financial planners |
| FORTWOOD CAPITAL LP | Other investment adviser, including financial planners |
| GLOBAL ALPHA CAPITAL MANAGEMENT LTD. | Other investment adviser, including financial planners |
| NS PARTNERS LTD | Other investment adviser, including financial planners |
| PCJ INVESTMENT COUNSEL LTD. | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| VERGENT EMERGING OPPORTUNITIES FUND LTD. | Hedge Fund | $2.4M | $1.0M | 2 |
| VERGENT MENA OPPORTUNITIES FUND LTD. | Hedge Fund | $45.0M | $1.0M | 1 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| Walsh, Michael, John | Individual | – | MANAGEMENT COMMITTEE MEMBER | 09/2017 | < 5% |
| Al-Nassir, Ali | Individual | – | PORTFOLIO MANAGER, MANAGING PARTNER | 01/2018 | 25-50% |
| Bechara, Nemer | Individual | – | COMPLIANCE OFFICER & MANAGING PARTNER | 09/2017 | 10-25% |
| STODDART, JOHN, WARREN | Individual | – | MANAGEMENT COMMITTEE MEMBER | 01/2018 | < 5% |
| CONNOR, CLARK & LUNN UK LTD. | Foreign Entity | – | PARTNER | 09/2017 | 50-75% |
| CONNOR, CLARK & LUNN UK HOLDINGS LTD. | Foreign Entity | CONNOR, CLARK & LUNN UK LTD. | SHAREHOLDER | 01/2014 | > 75% |
| CONNOR, CLARK & LUNN FINANCIAL GROUP LP | Foreign Entity | CONNOR, CLARK & LUNN UK HOLDINGS LTD. | SHAREHOLDER | 01/2014 | > 75% |
| CONNOR, CLARK & LUNN FINANCIAL GROUP INVESTMENT PARTNERSHIP | Foreign Entity | CONNOR, CLARK & LUNN FINANCIAL GROUP LP | PARTNER | 01/2015 | > 75% |
| CONNOR, CLARK & LUNN FINANCIAL GROUP LTD. | Foreign Entity | CONNOR, CLARK & LUNN FINANCIAL GROUP INVESTMENT PARTNERSHIP | PARTNER | 01/2015 | > 75% |
| HASENAUER, ERIC, ROMAN | Individual | – | SN. VICE PRESIDENT, CO-HEAD | 07/2018 | < 5% |
| SIMONETTE, GARY, J | Individual | – | VICE PRESIDENT | 07/2018 | < 5% |
| Reynolds, Stephen, Edward | Individual | – | VICE PRESIDENT | 07/2018 | < 5% |
| Marzec, Timothy, Michael | Individual | – | VICE PRESIDENT | 07/2018 | < 5% |
| RICKETTS, JOHN, WYATT | Individual | – | SN. VICE PRESIDENT, CO-HEAD | 03/2022 | < 5% |