RECORD CURRENCY MANAGEMENT LIMITED
Adviser information for RECORD CURRENCY MANAGEMENT LIMITED last updated from Form ADV on June 28th, 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 | 88 |
|---|---|
| Investment Advisory/Research | 40 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 114 | $87.7B |
| Non-Discretionary | 0 | $0 |
| Total | 114 | $87.7B |
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 | 68 | $10.6B |
| Pension and profit sharing plans | 17 | $27.6B |
| Charitable organizations | 9 | $7.6B |
| State or municipal gov entities | 14 | $39.9B |
| Other investment advisers | 0 | $0 |
| Insurance companies | <5 | $847.1M |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $1.2B |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1 |
| No. of Non-U.S. Clients | 91 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)Publication of periodicals or newslettersEducational seminars/workshops |
|---|---|
| Compensation | % of AUMFixed feesPerformance-based feesLICENSE FEE |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-46575 |
|---|---|
| SEC ERA File Number | 801-46575 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 110893 |
| Legal Entity Identifier | BMDZF480JZJBBPMJOE66 |
Principal Office
MORGAN HOUSE, MADEIRA WALKWINDSOR
BERKSHIRE
United Kingdom
Monday - Friday, 0830 - 1800 HRS
Tel: (44) 1753 852222, Fax: (44) 1753 852224
Chief Compliance Officer
GRADY LAURIE
CHIEF COMPLIANCE OFFICER
MORGAN HOUSE, MADEIRA WALK
WINDSOR
BERKSHIRE
United Kingdom
Tel:
(44)1753 605888
Fax:
(44)1753 852224
G******@***********M
(Full email address available in API data)
Industry Affiliates
| DAIR RECORD LIMITED | Sponsor or syndicator of limited partnershipsSponsor, GP, manager of pooled investment vehicles |
| RAM STRATEGIES | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| RECORD ASSET MANAGEMENT | Other investment adviser, including financial planners |
| RECORD CURRENCY MANAGEMENT INC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| TERES INTERNATIONAL GROUP | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor or syndicator of limited partnershipsSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| RECORD PLC | Foreign Entity | – | PARENT COMPANY (100% OWNER) | 12/2007 | > 75% |
| RECORD, NEIL, PETER | Individual | RECORD PLC | CHAIRMAN RECORD PLC | 12/2007 | 25-50% |
| LAURIE, GRADY, MCGOWN | Individual | – | CHIEF COMPLIANCE OFFICER | 07/2012 | < 5% |
| CULLEN, STEVEN, PETER | Individual | – | CFO/DIRECTOR | 03/2013 | < 5% |
| Tikhonov, Dmitri, Eduardovich | Individual | – | CIO | 04/2021 | < 5% |
| Ayles, Kevin, John | Individual | – | COMPANY SECRETARY | 04/2021 | < 5% |
| Ayles, Kevin, John | Individual | – | DIRECTOR | 02/2022 | < 5% |
| Venis, Rebecca, Jane | Individual | – | DIRECTOR, CHIEF TECHNOLOGY OFFICER | 02/2022 | < 5% |
| Witte, Jan, Hendrik Josef | Individual | – | CHIEF EXECUTIVE OFFICER / DIRECTOR | 04/2023 | < 5% |