RATHBONES
RATHBONES INVESTMENT MANAGEMENT LIMITED Legal Name
Adviser information for RATHBONES last updated from Form ADV on March 27th, 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 | 1293 |
|---|---|
| Investment Advisory/Research | 528 |
| 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 | 105,647 | $56.5B |
| Non-Discretionary | 22,022 | $7.1B |
| Total | 127,669 | $63.6B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 56,980 | $16.2B |
| HNW Individuals | 9,342 | $24.9B |
| Banking or thrift institutions | 12 | $10.0M |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 12,486 | $9.8B |
| Charitable organizations | 2,446 | $7.7B |
| State or municipal gov entities | <5 | $6.1M |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 1,033 | $3.0B |
| Other | 2,251 | $2.0B |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 245 |
| No. of Non-U.S. Clients | 99 |
| No. of Financial Planning Clients | 1000 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesPublication of periodicals or newslettersEducational seminars/workshops |
|---|---|
| Compensation | % of AUMFixed feesCommissions |
| Other Business Activities | BankINVESTMENT ADVISER |
Identifiers
| SEC RIA File Number | 801-64731 |
|---|---|
| SEC ERA File Number | 801-64731 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 124925 |
| Legal Entity Identifier | 2138008ANZZHTOFO9Y42 |
Principal Office
PORT OF LIVERPOOL BUILDINGPIER HEAD
LIVERPOOL
United Kingdom
Monday - Friday, 9AM-5PM GMT
Tel: +44-151 236 6666, Fax: +44-151 243 7001
Websites
twitter.com/rathbonesgroup
www.rathbones.com
www.facebook.com/rathbonesgroupplc
www.linkedin.com/company/rathbones-group-plc/
www.linkedin.com/company/greenbank-investments/
www.rathbones.com/international
www.linkedin.com/showcase/rathbones-investment-management-international/
twitter.com/greenbankinvest
www.youtube.com/@rathbonesinsights/
www.greenbankinvestments.com/
www.instagram.com/rathbonesplc/
www.linkedin.com/showcase/rathbones-professional-advisers/
www.linkedin.com/showcase/rathbones-international/
Chief Compliance Officer
LESLEY-ANNE COLLINGE
PORT OF LIVERPOOL BUILDING
PIER HEAD
LIVERPOOL
United Kingdom
Tel:
+441512437157
Fax:
+441512437327
L**************@************M
(Full email address available in API data)
Regulatory Contact
SUE JACOBS
OPERATIONAL TAX REPORTING MANAGER
PORT OF LIVERPOOL BUILDING
PIER HEAD
LIVERPOOL
United Kingdom
Tel:
+44 151 243 7233
Fax:
+44 151 243 7001
S*********@************M
(Full email address available in API data)
Industry Affiliates
| CASTLE INVESTMENT SOLUTIONS LTD | Other investment adviser, including financial planners |
| INVESTEC W&I UK | Other investment adviser, including financial planners |
| INVESTEC WEALTH & INVESTMENT (CHANNEL ISLANDS) LIMITED | Other investment adviser, including financial planners |
| MURRAY ASSET MANAGEMENT UK LIMITED | Other investment adviser, including financial planners |
| RATHBONE LUXEMBURG SICAV | Sponsor, GP, manager of pooled investment vehicles |
| RATHBONE NOMINEES LIMITED | Trust company |
| RATHBONES ASSET MANAGEMENT LIMTED | Sponsor, GP, manager of pooled investment vehicles |
| RATHBONES INVESTMENT MANAGEMENT INTERNATIONAL LTD | Other investment adviser, including financial planners |
| RATHBONES TRUST COMPANY LIMITED | Trust companyLawyer or law firm |
| RATHBONES TRUST LEGAL SERVICES LIMITED | Trust companyLawyer or law firm |
| SAUNDERSON HOUSE LIMITED | Other investment adviser, including financial planners |
| VISION INDEPENDENT FINANCIAL PLANNING LTD | 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 |
|---|---|---|---|---|---|
| RATHBONES GROUP PLC | Foreign Entity | – | SHAREHOLDER | 09/1988 | > 75% |
| STOCKTON, ROBERT, PAUL | Individual | – | CHIEF EXECUTIVE RATHBONES INVESTMENT MANAGEMENT LTD | 05/2019 | < 5% |
| COLLINGE, LESLEY-ANNE | Individual | – | CHIEF COMPLIANCE OFFICER | 02/2015 | < 5% |
| GENTLEMAN, SARAH, FELICITY | Individual | – | NON EXECUTIVE DIRECTOR RATHBONES INVESTMENT MANAGEMENT LTD | 01/2015 | < 5% |
| DUHON, TERRI, LYNN | Individual | – | NON EXECUTIVE DIRECTOR RATHBONES INVESTMENT MANAGEMENT LTD | 07/2018 | < 5% |
| BRODIE, ANDREW, JOHN PATERSON | Individual | – | CHIEF OPERATING OFFICER | 05/2020 | < 5% |
| BANNISTER, CLIVE, CHRISTOPHER ROGER | Individual | – | CHAIRMAN RATHBONES INVESTMENT MANAGEMENT LTD | 05/2021 | < 5% |
| CUMMINGS, IAIN, ALEXANDER | Individual | – | NON EXECUTIVE DIRECTOR RATHBONES INVESTMENT MANAGEMENT LTD | 10/2021 | < 5% |
| MISTRY, DHARMASH, PRAVIN | Individual | – | NON EXECUTIVE DIRECTOR RATHBONES INVESTMENT MANAGEMENT LTD | 10/2021 | < 5% |
| O'Shea, Henrietta, Caroline | Individual | – | NON-EXECUTIVE DIRECTOR | 09/2023 | < 5% |
| INVESTEC PLC | Domestic Entity | RATHBONES GROUP PLC | SHAREHOLDER | 09/2023 | 25-50% |
| Leas, Ruth | Individual | – | NON-EXECUTIVE DIRECTOR | 09/2023 | < 5% |
| Hooley, Iain, William | Individual | – | CHIEF FINANCIAL OFFICER AND EXECUTIVE DIRECTOR | 01/2024 | < 5% |