HARWOOD CAPITAL LLP
Adviser information for HARWOOD CAPITAL LLP last updated from Form ADV on June 9th, 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 | Limited Liability Partnership |
|---|---|
| Fiscal Year End | MARCH |
| Legal Location | United Kingdom |
Employees
| Total Number of Employees | 13 |
|---|---|
| Investment Advisory/Research | 4 |
| 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 | 114 | $328.1M |
| Non-Discretionary | 0 | $0 |
| Total | 114 | $328.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 76 | $110.1M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 24 | $196.2M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 5 | $11.2M |
| 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 | 9 | $10.6M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 83 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-74305 |
|---|---|
| SEC ERA File Number | 801-74305 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 161632 |
| Legal Entity Identifier | 213800SEMFKBARI5RC62 |
Principal Office
6 STRATTON STREETMAYFAIR
LONDON
United Kingdom
Monday - Friday, 9AM - 5.30PM
Tel: 44 207 640 3200, Fax: 44 207 640 3299
Websites
Chief Compliance Officer
ARAFAT SHAH
6 STRATTON STREET
MAYFAIR
LONDON
United Kingdom
Tel:
0044 20 7640 3203
Fax:
44 207 640 3299
A****@*******************K
(Full email address available in API data)
Regulatory Contact
CHRISTOPHER HART
CHIEF OPERATING OFFICER
6 STRATTON STREET
MAYFAIR
LONDON
United Kingdom
Tel:
44 207 640 3209
Fax:
44 207 640 3299
C****@*******************K
(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 |
|---|---|---|---|---|---|
| HARWOOD CAPITAL MANAGEMENT LIMITED | Foreign Entity | – | SHARHOLDER | 03/2003 | > 75% |
| MILLS, CHRISTOPHER, HARWOOD BERNARD | Individual | HARWOOD CAPITAL MANAGEMENT LIMITED | SHAREHOLDER | 03/2003 | > 75% |
| SHAH, SYED ARAFAT, HUSSAIN | Individual | – | CHIEF COMPLIANCE OFFICER | 04/2018 | < 5% |
| HART, CHRISTOPHER, JOHN | Individual | – | CHIEF OPERATING OFFICER | 03/2019 | < 5% |