COMPLUS ASSET MANAGEMENT (UK) LIMITED
Adviser information for COMPLUS ASSET MANAGEMENT (UK) LIMITED last updated from Form ADV on March 25th, 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 | Other (specify) |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | United Kingdom |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 2 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 8 | $4.1B |
| Non-Discretionary | 0 | $0 |
| Total | 8 | $4.1B |
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 | $2.7B |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | <5 | $1.4B |
| 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 | 88 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-129696 |
|---|---|
| SEC ERA File Number | 801-129696 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 329571 |
| Legal Entity Identifier | 213800IB89Z7IX6CHI20 |
Principal Office
84 BROOK STREETLONDON
United Kingdom
Monday - Friday, 9AM-6PM
Tel: +44-2031-785172, Fax: None
Websites
Chief Compliance Officer
FRANCOIS HORA
CHIEF EXECUTIVE OFFICER
84 BROOK STREET
LONDON
United Kingdom
Tel:
+442031785172
F************@************M
(Full email address available in API data)
Regulatory Contact
JUNE LEUNG
COMPLIANCE OFFICER
ROOM 1302, YORK HOUSE
THE LANDMARK, 15 QUEEN'S ROAD CENTRAL
HONG KONG
Hong Kong
Tel:
+85228680744
Fax:
+85228682090
J*********@************M
(Full email address available in API data)
Industry Affiliates
| COMPLUS ASSET MANAGEMENT (SINGAPORE) PTE. LTD. | Other investment adviser, including financial planners |
| COMPLUS ASSET MANAGEMENT LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| COMPLUS INVESTMENT LIMITED | Foreign Entity | – | SHAREHOLDER | 03/2022 | > 75% |
| HORA, FRANCOIS, JOSEF | Individual | – | CHIEF COMPLIANCE OFFICER, CHIEF EXECUTIVE OFFICER, DIRECTOR | 03/2022 | < 5% |
| LEEKHA, RAJEEV | Individual | – | DIRECTOR, SHAREHOLDER | 02/2023 | < 5% |
| COMPLUS HOLDINGS LIMITED | Foreign Entity | COMPLUS INVESTMENT LIMITED | SHAREHOLDER | 03/2022 | > 75% |
| KAM, KWOK CHING | Individual | COMPLUS HOLDINGS LIMITED | SHAREHOLDER | 03/2022 | > 75% |