ARBION LIMITED
Adviser information for ARBION LIMITED last updated from Form ADV on March 30th, 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 | 26 |
|---|---|
| Investment Advisory/Research | 18 |
| 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 | 137 | $1.8B |
| Non-Discretionary | 48 | $294.9M |
| Total | 185 | $2.1B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 90 | $1.5B |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 5 | $128.9M |
| 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 | 44 | $423.4M |
| Other | 15 | $101.3M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 91 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-72568 |
|---|---|
| SEC ERA File Number | 801-72568 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 155663 |
| Legal Entity Identifier | 213800KQ5WV6TCIRB276 |
Principal Office
ONE CONNAUGHT PLACELONDON
United Kingdom
Monday - Friday, 8:30AM - 6PM
Tel: 44-0-207-298-6060, Fax: 44-0-207-402-9099
Chief Compliance Officer
KATE COOPER
COMPLIANCE OFFICER
ONE CONNAUGHT PLACE
LONDON
United Kingdom
Tel:
44-0-207-298-6060
Fax:
44-0-207-402-9099
K**********@*********M
(Full email address available in API data)
Regulatory Contact
KIRIN OHBI
MISS
ONE CONNAUGHT PLACE
LONDON
United Kingdom
Tel:
+442072986067
K*********@*********M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MALONE, GREGORY, EDWARD | Individual | – | SHAREHOLDER | 10/2022 | 10-25% |
| COOPER, KATHRINE, ELISE | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2010 | < 5% |
| SMYTH, CARNEGIE EDWARD | Individual | – | DIRECTOR | 02/2015 | < 5% |
| ARBION HOLDINGS LIMITED | Foreign Entity | – | SHAREHOLDER | 10/2022 | > 75% |
| SMYTH, CARNEGIE EDWARD | Individual | – | SHAREHOLDER | 10/2022 | 10-25% |
| PASINI, DANIEL, ATTILIO | Individual | – | SHAREHOLDER AND DIRECTOR | 03/2023 | 10-25% |
| PABST, MARCO, EBERHARD | Individual | – | SHAREHOLDER AND DIRECTOR | 03/2023 | 10-25% |
| OHBI, KIRINPAL | Individual | – | DIRECTOR | 02/2022 | < 5% |
| KARACA, ALI-SEVKET | Individual | – | SHAREHOLDER | 03/2023 | 10-25% |
| LIEBERMAN, DOTAN, NATHAN | Individual | – | SHAREHOLDER | 03/2023 | 10-25% |