STONEHAGE FLEMING
STONEHAGE FLEMING INVESTMENT MANAGEMENT LIMITED Legal Name
Adviser information for STONEHAGE FLEMING last updated from Form ADV on June 26th, 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 | 62 |
|---|---|
| Investment Advisory/Research | 49 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 10 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,426 | $11.3B |
| Non-Discretionary | 221 | $3.8B |
| Total | 1,647 | $15.1B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 131 | $235.0M |
| HNW Individuals | 333 | $4.1B |
| 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 | 22 | $147.7M |
| Charitable organizations | 32 | $1.1B |
| 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 | 212 | $7.1B |
| Other | 917 | $2.5B |
| 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 clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Principal Office
6 ST JAMES'S SQUARELONDON, GREATER LONDON
United Kingdom
Monday - Friday, 8:00 AM - 6:00 PM
Tel: +44 20 7036 5000, Fax: +44 20 7036 5601
Chief Compliance Officer
KATIE MUNDELL
GROUP HEAD OF RISK & COMPLIANCE - UK AND INVESTMENT MANAGEMENT
6 ST JAMES'S SQUARE
LONDON
United Kingdom
Tel:
+44 20 7036 5000
Fax:
+44 20 7036 5601
K************@*******************M
(Full email address available in API data)
Regulatory Contact
PETER ROGERSON
DIRECTOR, RISK AND COMPLIANCE
6 ST JAMES'S SQUARE
LONDON
United Kingdom
Tel:
+44 20 7087 0125
Fax:
+44 20 7036 5601
P*************@*******************M
(Full email address available in API data)
Industry Affiliates
| EXMOOR FIDUCIARY LIMITED | Trust company |
| STONEHAGE FLEMING ADVISORY LTD | Other investment adviser, including financial planners |
| STONEHAGE FLEMING DEALING AND TREASURY SERVICES (JERSEY) LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| STONEHAGE FLEMING FINANCIAL SERVICES LTD | Trust company |
| STONEHAGE FLEMING INVESTMENT MANAGEMENT (SOUTH AFRICA) (PTY) LTD | Other investment adviser, including financial planners |
| STONEHAGE FLEMING INVESTMENT MANAGEMENT (SUISSE) AG | Other investment adviser, including financial planners |
| STONEHAGE FLEMING LAW LIMITED | Lawyer or law firm |
| STONEHAGE FLEMING LAW US | Lawyer or law firm |
| STONEHAGE FLEMING WEALTH PLANNING LIMITED | Other investment adviser, including financial planners |
| STONEHAGE FLEMING WEALTH SERVICES LIMITED | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| STONEHAGE FLEMING (UK) LIMITED | Foreign Entity | – | SOLE SHAREHOLDER | 07/2000 | > 75% |
| GARDNER, ADRIAN, DAVID EDMUND | Individual | – | CHIEF OPERATIONS OFFICER | 10/2019 | < 5% |
| Berman, Michael, NMN | Individual | – | HEAD OF CLIENT MANAGEMENT | 07/2019 | < 5% |
| Merry, Christopher, James | Individual | – | CHIEF EXECUTIVE OFFICER | 09/2019 | < 5% |
| WAINER, GRAHAM, DEREK | Individual | – | INVESTMENT MANAGEMENT CHIEF EXECUTIVE OFFICER | 04/2016 | < 5% |
| Mundell, Katie, Angela | Individual | – | CHIEF COMPLIANCE OFFICER | 11/2020 | < 5% |
| STONEHAGE FLEMING FINANCIAL SERVICES HOLDINGS LIMITED | Foreign Entity | STONEHAGE FLEMING (UK) LIMITED | SOLE SHAREHOLDER | 06/2015 | > 75% |
| STONEHAGE FLEMING FAMILY & PARTNERS LIMITED | Foreign Entity | STONEHAGE FLEMING FINANCIAL SERVICES HOLDINGS LIMITED | SOLE SHAREHOLDER | 01/2015 | > 75% |
| CALEDONIA INVESTMENTS PLC | Foreign Entity | STONEHAGE FLEMING FAMILY & PARTNERS LIMITED | SHAREHOLDER | 07/2019 | 25-50% |
| SPES BONA LIMITED | Foreign Entity | STONEHAGE FLEMING FAMILY & PARTNERS LIMITED | SHAREHOLDER | 07/2019 | 25-50% |
| LIBERTAS INVESTMENT GROUP LIMITED | Foreign Entity | SPES BONA LIMITED | SHAREHOLDER | 06/2019 | 25-50% |
| THE LIBERTAS INTERNATIONAL TRUST | Foreign Entity | LIBERTAS INVESTMENT GROUP LIMITED | SHAREHOLDER | 12/2018 | > 75% |
| PRIMAFIDES (SUISSE) S. A. AS TRUSTEE OF THE LIBERTAS INTERNATIONAL TRUST | Foreign Entity | LIBERTAS INVESTMENT GROUP LIMITED | SHAREHOLDER | 12/2018 |