COLLER INVESTMENT MANAGEMENT LTD
Adviser information for COLLER INVESTMENT MANAGEMENT LTD last updated from Form ADV on June 29th, 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 | Guernsey |
Employees
| Total Number of Employees | 9 |
|---|---|
| Investment Advisory/Research | 0 |
| 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 | 25 | $21.3B |
| Non-Discretionary | 0 | $0 |
| Total | 25 | $21.3B |
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 | 25 | $21.3B |
| 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 | 100 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-56222 |
|---|---|
| SEC ERA File Number | 801-56222 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 111035 |
| Legal Entity Identifier | 213800KWA5YGYLRC4V37 |
Principal Office
TRAFALGAR COURTLES BANQUES
ST. PETER PORT
Guernsey
Monday - Friday, 9AM - 5PM
Tel: +44 1481 745001, Fax: +44 1481 745074
Chief Compliance Officer
FRANK OCHSENFELD
116 PARK STREET
LONDON
United Kingdom
Tel:
+44 20 7079 9401
Fax:
+44 20 7631 8555
F***************@****************M
(Full email address available in API data)
Regulatory Contact
ROXANNE LE PREVOST
DIRECTOR
PO BOX 255
TRAFALGAR COURT LES BANQUES
ST. PETER PORT
Guernsey
Tel:
+44 1481 745362
Fax:
+44 1481 745074
R***@*******M
(Full email address available in API data)
Industry Affiliates
| COLLER CAPITAL (HONG KONG) LIMITED | Other investment adviser, including financial planners |
| COLLER CAPITAL INC | Other investment adviser, including financial planners |
| COLLER CAPITAL LIMITED | Other investment adviser, including financial planners |
| COLLER INTERNATIONAL GENERAL PARTNER V, L.P. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| COLLER INTERNATIONAL GENERAL PARTNER VI, L.P. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| COLLER INTERNATIONAL GENERAL PARTNER VII, L.P. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| COLLER INTERNATIONAL GENERAL PARTNER VIII, L.P. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| COLLER INTERNATIONAL PARTNERS VI LUXEMBOURG S.A R.L. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| COLLER INTERNATIONAL PARTNERS VII LUXEMBOURG GP, S.A.R.L. | Sponsor, GP, manager of pooled investment vehicles |
| COLLER INTERNATIONAL PARTNERS VIII LUXEMBOURG GP, S.A R.L. | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| CIP VIII CO-INVESTMENT VEHICLE 3, L.P. | Private Equity Fund | $130.0M | $10.0M | 6 |
| COLLER INTERNATIONAL PARTNERS V-A, L.P. | Private Equity Fund | $67.1M | $5.0M | 233 |
| COLLER INTERNATIONAL PARTNERS VI, L.P. | Private Equity Fund | $1,124.5M | $10.0M | 215 |
| COLLER INTERNATIONAL PARTNERS VII, L.P. | Private Equity Fund | $7,257.7M | $10.0M | 200 |
| COLLER INTERNATIONAL PARTNERS VIII, L.P. | Private Equity Fund | $9,114.3M | $10.0M | 231 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| COLLER, JEREMY, JOSEPH | Individual | – | DIRECTOR | 09/1995 | < 5% |
| LE TISSIER, ROGER, ALAN | Individual | – | DIRECTOR | 05/1999 | < 5% |
| MAHON, CYRIL, JOSEPH | Individual | – | DIRECTOR | 05/1999 | < 5% |
| CICAP LIMITED | Foreign Entity | – | OWNER | 09/1995 | > 75% |
| COLLER, JEREMY, JOSEPH | Individual | CICAP LIMITED | OWNER | 10/1993 | > 75% |
| LOVELESS, JOHN, CHARLTON | Individual | – | DIRECTOR | 08/2010 | < 5% |
| OCHSENFELD, FRANK | Individual | – | CHIEF COMPLIANCE OFFICER | 09/2013 | < 5% |
| LEGGE, CHRISTOPHER, FAWCUS LOVELL | Individual | – | DIRECTOR | 04/2016 | < 5% |
| LAMB, HELEN, LOUISE | Individual | – | DIRECTOR | 12/2021 | < 5% |
| LE PREVOST, ROXANNE | Individual | – | DIRECTOR | 07/2021 | < 5% |
| HOLLIER, JEREMY | Individual | – | DIRECTOR | 09/2022 | < 5% |