Hedge Fund Database

WAVERTON INVESTMENT MANAGEMENT LIMITED

Adviser information for WAVERTON INVESTMENT MANAGEMENT LIMITED last updated from Form ADV on February 29th, 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 Corporation
Fiscal Year End DECEMBER
Legal Location United Kingdom

Employees

Total Number of Employees 163
Investment Advisory/Research 51
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 3,208 $12.9B
Non-Discretionary 372 $981.2M
Total 3,580 $13.9B

Clients

Type Number RAUM
Individuals 0 $0
HNW Individuals 2,752 $4.4B
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 40 $7.2B
Pension and profit sharing plans 621 $721.1M
Charitable organizations 167 $1.6B
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 1
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 clients
Compensation % of AUMFixed feesCommissionsINTEREST COST

Identifiers

SEC RIA File Number 801-60447
SEC ERA File Number 801-60447
SEC CIK Numbers 1344114
SEC CRD Numbers 112200
Legal Entity Identifier 213800J23UDOYX616925

Principal Office

16 BABMAES STREET
LONDON
United Kingdom
Monday - Friday, 09.00 TO 17.30
Tel: 0044 20 7484 7496, Fax: 0044 20 7484 7403

Websites

www.waverton.co.uk uk.linkedin.com/company/waverton-investment-management

Chief Compliance Officer

MR HARISH SHAH
HEAD OF LEGAL & COMPLIANCE
16 BABMAES STREET
LONDON
United Kingdom
Tel: 00442074847496
Fax: 00442074847403
(Full email address available in API data)

Regulatory Contact

JASDEEP SANGHERA
ASSOCIATE DIRECTOR, COMPLIANCE
16 BABMAES STREET
LONDON
United Kingdom
Tel: 02074847424
(Full email address available in API data)

Industry Affiliates

ICM Other investment adviser, including financial planners
PCF BANK LIMITED Banking or thrift institution
WAVERTON WEALTH 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
SHAH, HARISH Individual – CHIEF COMPLIANCE OFFICER 09/2010 < 5%
WELCH, DAVID Individual – CHIEF FINANCIAL OFFICER 05/2007 < 5%
SOMERS LIMITED Foreign Entity WAVERTON INVESTMENT MANAGEMENT GROUP LIMITED CONTROLLER 07/2013 50-75%
UIL LIMITED Foreign Entity SOMERS LIMITED CONTROLLER 06/2013 25-50%
GENERAL PROVINCIAL LIFE PENSION FUND Foreign Entity UIL LIMITED CONTROLLER 06/2007 50-75%
UNION MUTUAL PENSION FUND LIMITED Foreign Entity SOMERS LIMITED CONTROLLER 02/2020 50-75%
HH STEPHENS NO.1 TRUST Foreign Entity GENERAL PROVINCIAL LIFE PENSION FUND OWNER 10/2019 > 75%
SAVILLE, DUNCAN Individual SOMERS ISLES PRIVATE TRUST COMPANY LTD OWNER 01/2011 > 75%
SOMERS ISLES PRIVATE TRUST COMPANY LTD Foreign Entity HH STEPHENS NO.1 TRUST TRUSTEE 10/2016
PERCY, ALGERNON, ALAN Individual – DIRECTOR 08/2013 < 5%
JILLINGS, CHARLES Individual – NON-EXECUTIVE DIRECTOR 08/2013 < 5%
MORGAN, DAVID Individual – NON-EXECUTIVE DIRECTOR 08/2013 < 5%
WAVERTON INVESTMENT MANAGEMENT GROUP LIMITED Foreign Entity – SHAREHOLDER 04/2016 > 75%
Rosier, Frederick, David Stewart Individual – CHAIRMAN 08/2017 < 5%
ALLEN, MICHAEL, DAVID Individual – CHIEF OPERATING OFFICER 07/2019 < 5%
TUCKER, GEOFFREY, NICHOLAS Individual – CHIEF EXECUTIVE OFFICER 06/2020 < 5%
HH STEPHENS NO.1 TRUST Foreign Entity UNION MUTUAL PENSION FUND LIMITED OWNER 03/1995 > 75%
Dovey, Sebastian, Simon Individual – NON-EXECUTIVE DIRECTOR 01/2021 < 5%
Napier, Alexandra, Winifred Louise Individual – NON-EXECUTIVE DIRECTOR 12/2022 < 5%

No. Employees, Historic

20010002019202020212022202320242025145 on 7/23/2019153 on 12/20/2019153 on 6/30/2020156 on 12/22/2020156 on 1/4/2021156 on 3/29/2021156 on 10/21/2021159 on 3/23/2022170 on 3/3/2023163 on 2/29/2024

RAUM, Historic

20B10B020192020202120222023202420257744594390 on 7/23/20197708935106 on 12/20/20197708935106 on 6/30/20208451460319 on 12/22/20208451460319 on 1/4/20219386066102 on 3/29/202110707947810 on 10/21/202111696088712 on 3/23/202211010611352 on 3/3/202313907410830 on 2/29/2024

No. Clients, Historic

4,0002,000020192020202120222023202420252540 on 7/23/20192596 on 12/20/20192596 on 6/30/20202681 on 12/22/20202681 on 1/4/20212706 on 3/29/20212871 on 10/21/20212957 on 3/23/20223194 on 3/3/20233580 on 2/29/2024

Holdings

From latest 13F, filed August 5th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
Abrdn Physical Gold Shares ETF PHYSCL SWISS GLD 15M 662K –
Advanced Micro Devices COM 226M 1M –
Alibaba Group Holdings Ltd Sponsored ADR SPONSORED ADS 4M 59K –
Alphabet Inc US$0.001 'A' CAP STK CL A 316M 2M –
Alphabet Inc US$0.001 'C' CAP STK CL C 8M 46K –
Amazon.com Inc Com US$0.01 COM 299M 2M –
American Express Co Com US$0.20 COM 179M 774K –
American International Group Inc Com US$2.50 COM NEW 41M 548K –
American Water Works Company Inc US$0.01 COM 35M 274K –
Apple Inc Com COM 85M 404K –
Applied Materials COM US$0.01 COM 236K 1K –
Automatic Data Processing Com US$0.10 COM 334K 1K –
Avery Dennison COM 1M 5K –
Berkshire Hathaway 'B' Com US$0.1667 CL B NEW 33M 82K –
Broadcom Ltd $1 COM 303K 189 –
Cheniere Energy, Inc COM NEW 25M 143K –
Chevron Corporation Com US$0.75 COM 9M 56K –
Citigroup Inc Com US$0.01 COM NEW 933K 15K –
CME Group Inc Com US$0.01 'A' COM 167M 847K –
Coca-Cola Com US$0.25 COM 10M 158K –
Coinbase Global Inc $0.00001 Class 'A' COM CL A 369K 2K –
Colgate-Palmolive Co Com US$1.00 COM 1M 14K –
Costco Wholesale Corp Com Stock US$0.005 COM 14M 16K –
Credicorp Ltd US$5 COM 517K 3K –
D.R. Horton Inc Com US$0.01 COM 25M 180K –
Danaher Corp. US$0.01 COM 574K 2K –
Dover Corporation US$1 COM 623K 3K –
Eli Lilly & Co Com COM 278K 307 –
EOG Resources Inc COM 200K 2K –
Exxon Mobil Corporation Com COM 2M 20K –
Ferguson Plc Ord 0.01 SHS 157M 813K –
First Trust Asia ex-Japan AlphaDEX ETF $ ASIA EX JAPAN 4M 139K –
First Trust Global Tactical Commodity Strategy ETF FST TR GLB FD 5M 190K –
First Trust United Kingdom AlphaDEX ETF UNIT KING ALPH 484K 13K –
Franco Nevada Corp Com Npv COM 623K 5K –
GE Aerospace COM NEW 175M 1M –
GE Vernova LLC COM 113M 661K –
HCA Healthcare Inc COM 45M 141K –
HDFC Bank Ltd-Adr SPONSORED ADS 1M 20K –
Home Depot Inc Com US$0.05 COM 1M 3K –
Honeywell International Inc Com US$1.00 COM 786K 4K –
IBM Com US$0.20 COM 171M 988K –
Infosys Ltd ADR Each Rep 1 Ord Shares SPONSORED ADR 5M 295K –
Intercontinental Exchange Inc Com US$0.01 COM 739K 5K –
Intuit Inc Com US$0.01 COM 163M 249K –
Invesco QQQ Trust Unit Series 1 UNIT SER 1 474K 990 –
iShares Russell 1000 Growth RUS 1000 GRW ETF 389K 1K –
iShares Trust Russell 2000 Index Fund RUSSELL 2000 ETF 1M 5K –
iShares Trust S&P 500 Index Fund CORE S&P500 ETF 927K 2K –
JP Morgan Chase Com US$1 (US quote) COM 65M 323K –
Kimberly-Clark Corporation Com US$1.25 COM 273K 2K –
Linde Plc Com EUR0.001 SHS 85M 194K –
Lockheed Martin Corp Com US$1.00 COM 904K 2K –
Marsh & McLennan Cos Inc Com US$1.00 COM 222M 1M –
Mastercard Inc US$0.0001 Class 'A' CL A 2M 4K –
Mercadolibre Inc Com US$0.001 COM 34M 21K –
Merck & Co Inc Com US$0.50 COM 1M 10K –
Microsoft Corporation Com US$0.00000625 COM 401M 897K –
Newmont Mining Corp Com US$1.60 COM 19M 466K –
Nvidia Corporation US$0.001 COM 3M 23K –
O'Reilly Automotive Inc New $0.01 COM 34M 32K –
Pepsico Inc Cap Stock US$0.0166 COM 48M 288K –
Pfizer Inc Com US$0.05 COM 1M 44K –
Pinterest Inc Com US$0.00001 CL A 6M 146K –
Procter & Gamble Co Com COM 6M 35K –
Prologis, Inc. COM 32M 288K –
Qualcomm Inc Com US$0.0001 COM 270M 1M –
Quanta Services, Inc COM 10M 39K –
RenaissanceRe Holdings Ltd COM 9M 40K –
S&P Global Inc COM 2M 5K –
Salesforce Inc Com USD0.001 COM 2M 7K –
Schlumberger Com US$0.01 COM STK 94M 2M –
SPDR Gold Trust Shares GOLD SHS 14M 64K –
Stryker Corp Com US$0.10 COM 400K 1K –
Synopsys Inc US$0.01 COM 163M 274K –
Taiwan Semiconductor Manufacturing ADS Rep 5 Ord TW$10 SPONSORED ADS 129M 741K –
TE Connectivity Ltd Com CHF1.37 SHS 196M 1M –
Texas Pacific Land Corporation (TPL) $0.01 COM 9M 12K –
Thermo Fisher Scientific COM US$1 COM 238M 431K –
T-Mobile US Inc COM 125M 709K –
Union Pacific Corporation Com US$2.50 COM 3M 12K –
United Rentals Inc Com US$0.01 COM 135M 208K –
UnitedHealth Group Com US$0.01 COM 202M 397K –
Valaris Ltd CL A 42M 557K –
Vanguard Dividend Appreciation ETF DIV APP ETF 212K 1K –
Verizon Communications Com US$0.10 COM 983K 24K –
Visa Inc Com Stock US$0.0001 COM CL A 231M 879K –
Vulcan Materials Com $1 COM 37M 151K –
W R Berkley Corp Com US$0.20 COM 1M 14K –
Waste Management Com US$0.01 COM 662K 3K –
Wisdom Tree EM Small Cap Dividend ETF US S CAP QTY DIV 971K 19K –
Wisdom Tree Japan Hedged ETF JAPN HEDGE EQT 741K 7K –
Yum China Holdings Inc. US$0.01 COM 29M 933K –
Zoetis Inc Com US$0.01 'A' CL A 53M 306K –