TAVIRA FINANCIAL
TAVIRA FINANCIAL LIMITED Legal Name
Adviser information for TAVIRA FINANCIAL last updated from Form ADV on October 2nd, 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 | MARCH |
| Legal Location | United Kingdom |
Employees
| Total Number of Employees | 50 |
|---|---|
| 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 | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 5 | $481.0M |
| Non-Discretionary | 0 | $0 |
| Total | 5 | $481.0M |
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 | 5 | $481.0M |
| 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 | 77 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Broker-dealerCommodity pool operator or commodity trading advisorFutures commission merchant |
Identifiers
| SEC RIA File Number | 801-122827 |
|---|---|
| SEC ERA File Number | 801-122827 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 299666 |
| Legal Entity Identifier | 213800KDMRJL52KX8Z18 |
Principal Office
88 WOOD STREETLONDON, ENGLAND
United Kingdom
Monday - Friday, 9AM-5PM
Tel: 44 0207 100 5100, Fax: None
Chief Compliance Officer
SIMON MASON
88 WOOD STREET
LONDON
United Kingdom
Tel:
4420 3192 1703
S**********@*******************M
(Full email address available in API data)
Regulatory Contact
PATRICK FIETJE
CHIEF EXECUTIVE OFFICER
88 WOOD ST.
LONDON
United Kingdom
Tel:
4420 7100 1500
P*************@*******************M
(Full email address available in API data)
Industry Affiliates
| TAVIRA FINANCIAL | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| TAVIRA SECURITIES | Other investment adviser, including financial plannersFutures commission merchant |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| TAVIRA HOLDINGS LIMITED | Foreign Entity | – | SHAREHOLDEER | 01/2005 | > 75% |
| Goodfellow, Eliot, Wallis | Individual | TAVIRA HOLDINGS LIMITED | SHAREHOLDER | 01/2000 | > 75% |
| Fietje, Patrick | Individual | – | CHIEF EXECUTIVE OFFICER | 09/2018 | < 5% |
| Mason, Simon, Edward Ian | Individual | – | CHIEF COMPLIANCE OFFICER | 12/2018 | < 5% |
| Webster, Andrew | Individual | – | CHIEF FINANCIAL OFFICER | 04/2020 | < 5% |