IMPAX ASSET MANAGEMENT, LTD.
Adviser information for IMPAX ASSET MANAGEMENT, LTD. last updated from Form ADV on December 19th, 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 | Other (specify) |
|---|---|
| Fiscal Year End | SEPTEMBER |
| Legal Location | United Kingdom |
Employees
| Total Number of Employees | 175 |
|---|---|
| Investment Advisory/Research | 43 |
| 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 | 1,210 | $35.1B |
| Non-Discretionary | 7 | $1.5B |
| Total | 1,217 | $36.6B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 19 | $3.4M |
| HNW Individuals | 1,094 | $433.4M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 2 | $2.3B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 30 | $28.8B |
| Pension and profit sharing plans | 11 | $1.5B |
| Charitable organizations | 11 | $12.5M |
| State or municipal gov entities | 6 | $1.8B |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 30 | $21.6M |
| Other | 14 | $1.7B |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 7 |
| No. of Non-U.S. Clients | 4 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 175.9M |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| J.P. MORGAN SECURITIES PORTFOLIO MANAGER PROGRAM (CHASE WEALTH MANAGEMENT "PMP") | J.P. MORGAN SECURITIES LLC |
| J.P. MORGAN SECURITIES STRATEGIC INVESTMENT SERVICES ("STRATIS") PROGRAM | J.P. MORGAN SECURITIES LLC |
| J.P. MORGAN SECURITIES UNIFIED MANAGED ACCOUNT ("UMA") PROGRAM | J.P. MORGAN SECURITIES LLC |
Identifiers
| SEC RIA File Number | 801-67631 |
|---|---|
| SEC ERA File Number | 801-67631 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 143247 |
| Legal Entity Identifier | 213800K6QQFMK4B6K577 |
Principal Office
7TH FLOOR30 PANTON STREET
LONDON
United Kingdom
Monday - Friday, 9.00AM - 5.30PM
Tel: 011 44 20 3912 3000, Fax: 011 44 207 434 1123
Chief Compliance Officer
JOHN BOESE
CHIEF COMPLIANCE OFFICER
30 PENHALLOW STREET
SUITE 400
PORTSMOUTH
NH
United States
Tel:
603 501 7303
Fax:
603 431 9175
J******@**********M
(Full email address available in API data)
Regulatory Contact
PAULINE NURSE
HEAD OF COMPLIANCE OVERSIGHT
7TH FLOOR
30 PANTON STREET
LONDON
United Kingdom
Tel:
011 44 20 3912 3046
Fax:
011 44 20 7434 1123
P*****@**********M
(Full email address available in API data)
Industry Affiliates
| IMPAX ASSET MANAGEMENT | Other investment adviser, including financial planners |
| IMPAX ASSET MANAGEMENT (HONG KONG) LIMITED | Other investment adviser, including financial planners |
| IMPAX ASSET MANAGEMENT IRELAND LTD | Other investment adviser, including financial planners |
| IMPAX ASSET MANAGEMENT LLC | Other investment adviser, including financial planners |
| IMPAX GLOBAL OPPORTUNITIES (GP) LIMITED | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| IMPAX GLOBAL RESOURCES OPTIMIZATION (GP) LIMITED | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| INEI I GP (UK) LLP | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| INEI II GP (UK) LLP | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| INEI III GP (UK) LLP | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| INEI IV GP (UK) LLP | Other investment adviser, including financial plannersSponsor, 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 |
|---|---|---|---|---|---|
| IMPAX ASSET MANAGEMENT GROUP PLC | Foreign Entity | – | PARENT | 06/1998 | > 75% |
| SIMM, IAN, RICHARD | Individual | – | DIRECTOR, CHIEF EXECUTIVE OFFICER | 08/1998 | < 5% |
| JENKYN-JONES, BRUCE | Individual | – | DIRECTOR | 06/2001 | < 5% |
| von Preyss, Daniel, Gunter | Individual | – | DIRECTOR | 03/2020 | < 5% |
| BOESE, JOHN, AQUINAS | Individual | – | CHIEF COMPLIANCE OFFICER | 11/2020 | < 5% |
| Bremner, Catherine, Mary | Individual | – | DIRECTOR, CHIEF STRATEGY OFFICER | 02/2022 | < 5% |
| Cockburn, Karen | Individual | – | DIRECTOR, CHIEF FINANCIAL OFFICER | 12/2022 | < 5% |