S.W. MITCHELL CAPITAL LLP
Adviser information for S.W. MITCHELL CAPITAL LLP last updated from Form ADV on July 3rd, 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 | 4 |
|---|---|
| Investment Advisory/Research | 2 |
| 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 | 7 | $780.1M |
| Non-Discretionary | 0 | $0 |
| Total | 7 | $780.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 7 | $768.0M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | <5 | $12.1M |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1 |
| No. of Non-U.S. Clients | 99 |
| 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 |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-77125 |
|---|---|
| SEC ERA File Number | 801-77125 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 163494 |
| Legal Entity Identifier | None |
Principal Office
PRINCES HOUSE38 JERMYN STREET
LONDON
United Kingdom
Monday - Friday, 09:00 - 17:30
Tel: 020 7290 3588, Fax: 020 7290 3589
Websites
Chief Compliance Officer
STEPHEN THOMAS
HEAD OF OPERATIONS & COMPLIANCE
PRINCES HOUSE
38 JERMYN STREET
LONDON
United Kingdom
Tel:
0207 290 3588
Fax:
0207 290 3589
S******@********************M
(Full email address available in API data)
Regulatory Contact
GEMMA WINGFIELD DIGBY
PRINCES HOUSE
38 JERMYN STREET
LONDON
United Kingdom
Tel:
020 7290 3581
Fax:
020 7290 3589
G****@********************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 |
|---|---|---|---|---|---|
| THOMAS, STEPHEN | Individual | – | CHIEF COMPLIANCE OFFICER | 12/2005 | < 5% |
| MITCHELL, STUART, WALTER | Individual | – | MANAGING MEMBER AND CHIEF EXECUTIVE OFFICER | 04/2005 | > 75% |