FIRST GLOBAL
FIRST GLOBAL (UK) LIMITED Legal Name
Adviser information for FIRST GLOBAL last updated from Form ADV on June 30th, 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 | Other (specify) |
|---|---|
| Fiscal Year End | MARCH |
| Legal Location | United Kingdom |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 2 |
| 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 | 593 | $10.9M |
| Non-Discretionary | 2 | $10.5M |
| Total | 595 | $21.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 555 | $5.9M |
| HNW Individuals | 38 | $5.0M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 2 | $10.5M |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 99 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-121177 |
|---|---|
| SEC ERA File Number | 801-121177 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 312469 |
| Legal Entity Identifier | 213800VBSS5QKTCWAS08 |
Principal Office
46 STATION ROADNORTH HARROW, MIDDX
United Kingdom
Monday - Friday, 9AM TO 6PM
Tel: +44 208 904 4942, Fax: None
Chief Compliance Officer
NEERAJ KHANNA
DIRECTOR
46 STATION ROAD
NORTH HARROW, MIDDX
United Kingdom
Tel:
+44 2089044942
U*@**********M
(Full email address available in API data)
Industry Affiliates
| FG CAPITAL MANAGEMENT LTD. | Other investment adviser, including financial planners |
| FIRST GLOBAL FINANCE PVT. LTD. | Other investment adviser, including financial plannersBanking or thrift institution |
| FIRST GLOBAL STOCKBROKING PVT. LTD. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| GLOBAL FREEDOM FUND SP, A SEGREGATED PORTFOLIO OF FG CAPITAL SPC | Hedge Fund | $10.5M | $0.1M | 85 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SHARMA, SHANKAR | Individual | FIRST GLOBAL STOCKBROKING PVT. LTD | INDIRECT OWNER | 10/1998 | 25-50% |
| Khanna, Neeraj | Individual | – | CHIEF COMPLIANCE OFFICER AND DIRECTOR | 01/2021 | < 5% |
| MEHRA, DEVINA | Individual | FIRST GLOBAL STOCKBROKING PVT. LTD | DIRECTOR AND INDIRECT OWNER | 10/1998 | 50-75% |
| FIRST GLOBAL STOCKBROKING PVT. LTD | Foreign Entity | – | PARENT COMPANY | 10/1998 | > 75% |
| MEHRA, DEVINA | Individual | – | DIRECTOR AND INDIRECT OWNER | 10/1998 | < 5% |
| PORE, RAJESH | Individual | – | DIRECTOR | 05/2022 | < 5% |