COLUMBIA THREADNEEDLE (EM) INVESTMENTS LIMITED
Adviser information for COLUMBIA THREADNEEDLE (EM) INVESTMENTS LIMITED last updated from Form ADV on December 12th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | United Kingdom |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| 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 | 15 | $2.9B |
| Non-Discretionary | 0 | $0 |
| Total | 15 | $2.9B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | <5 | $20.2M |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 9 | $1.6B |
| Pension and profit sharing plans | 2 | $301.7M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | <5 | $921.9M |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $27.9M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 97 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-74649 |
|---|---|
| SEC ERA File Number | 801-74649 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 160460 |
| Legal Entity Identifier | None |
Principal Office
CANNON PLACE78 CANNON STREET
LONDON
United Kingdom
Monday - Friday, 9:00 A.M. - 5:00 P.M.
Tel: +44 20 3650 6600, Fax: None
Chief Compliance Officer
DARREL BUCKLEY
HEAD OF COMPLIANCE
78 CANNON STREET
LONDON
United Kingdom
Tel:
+44 (0)20 7464 5872
D*************@***********************M
(Full email address available in API data)
Regulatory Contact
SINEAD HUGHES
COMPLIANCE DIRECTOR, ADVISORY
EXCHANGE HOUSE, PRIMROSE STREET
LONDON
United Kingdom
Tel:
+44 (0)203 530 6458
S************@***********************M
(Full email address available in API data)
Industry Affiliates
| AMERIPRISE CAPTIVE INSURANCE COMPANY | Insurance company or agency |
| COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| COLUMBIA THREADNEEDLE FUND MANAGEMENT LIMITED | Other investment adviser, including financial planners |
| COLUMBIA THREADNEEDLE LUXEMBOURG S.A. | Sponsor, GP, manager of pooled investment vehicles |
| COLUMBIA THREADNEEDLE MANAGEMENT LIMITED | Other investment adviser, including financial planners |
| COLUMBIA THREADNEEDLE MULTI-MANAGER LLP | Other investment adviser, including financial planners |
| COLUMBIA THREADNEEDLE NETHERLANDS B.V. | Other investment adviser, including financial planners |
| COLUMBIA THREADNEEDLE REP AM PLC | Other investment adviser, including financial planners |
| F&C AURORA (GP) LIMITED | Sponsor, GP, manager of pooled investment vehicles |
| F&C CLIMATE OPPORTUNITY PARTNERS (GP) LIMITED | Sponsor, GP, manager of pooled investment vehicles |
| F&C EUROPEAN CAPITAL PARTNERS (GP) LIMITED | Sponsor, GP, manager of pooled investment vehicles |
| FOSCA MANAGERS SARL | Other investment adviser, including financial planners |
| PYRFORD INTERNATIONAL LTD | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| THAMES RIVER CAPITAL LLP | Other investment adviser, including financial planners |
| THREADNEEDLE ASSET MANAGEMENT LIMITED | 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 |
|---|---|---|---|---|---|
| AMERIPRISE FINANCIAL SERVICES, LLC | Domestic Entity | COLUMBIA THREADNEEDLE INVESTMENTS UK INTERNATIONAL LIMITED | SHAREHOLDER | 11/2021 | > 75% |
| MAUDE, TOBY | Individual | – | CHIEF FINANCIAL OFFICER | 03/2015 | < 5% |
| LOGAN, DAVID | Individual | – | EXECUTIVE DIRECTOR | 06/2015 | < 5% |
| APFEL, BENJAMIN, NMN | Individual | – | ASSOCIATE GENERAL COUNSEL | 09/2007 | < 5% |
| COLUMBIA THREADNEEDLE INVESTMENTS UK INTERNATIONAL LIMITED | Foreign Entity | – | SHAREHOLDER | 11/2021 | > 75% |
| AMERIPRISE FINANCIAL, INC. | Domestic Entity | COLUMBIA THREADNEEDLE INVESTMENTS UK INTERNATIONAL LIMITED | SHAREHOLDER | 11/2021 | > 75% |
| RING, NICHOLAS, J | Individual | – | EXECUTIVE DIRECTOR | 11/2021 | < 5% |
| WATTS, RICHARD, ADRIAN | Individual | – | EXECUTIVE DIRECTOR | 02/2022 | < 5% |
| Buckley, Darrel, James | Individual | – | CHIEF COMPLIANCE OFFICER | 04/2023 | < 5% |