RECORD CURRENCY MANAGEMENT INC
RECORD CURRENCY MANAGEMENT (US) INC Legal Name
Adviser information for RECORD CURRENCY MANAGEMENT INC last updated from Form ADV on June 30th, 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 | MARCH |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| 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 | 8 | $15.5B |
| Non-Discretionary | 0 | $0 |
| Total | 8 | $15.5B |
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 | 0 | $0 |
| Pension and profit sharing plans | <5 | $2.7B |
| Charitable organizations | <5 | $1.1B |
| State or municipal gov entities | <5 | $11.7B |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $1.2M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1 |
| No. of Non-U.S. Clients | 13 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)Publication of periodicals or newslettersEducational seminars/workshopsADVISORY SERVICES TO SPECIFIED CLIENTS OF RECORD CURRENCY MANAGEMENT LIMITED |
|---|---|
| Compensation | Fixed feesSALARY, MANAGEMENT FEE AGREEMENT, GROUP PROFIT SCHEME |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-79684 |
|---|---|
| SEC ERA File Number | 801-79684 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 171338 |
| Legal Entity Identifier | None |
Principal Office
APARTMENT 28D40 BROAD STREET
NEW YORK
NY
United States
Monday - Friday, 08:30-17:30
Tel: +44 7873 621078, Fax: None
Chief Compliance Officer
GRADY MCGOWN LAURIE
MORGAN HOUSE
MADEIRA WALK
WINDSOR
United Kingdom
Tel:
441753605888
Fax:
441753852224
G******@***********M
(Full email address available in API data)
Industry Affiliates
| DAIR RECORD LIMITED | Sponsor or syndicator of limited partnershipsSponsor, GP, manager of pooled investment vehicles |
| RAM STRATEGIES | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| RECORD ASSET MANAGEMENT | Other investment adviser, including financial planners |
| RECORD CURRENCY MANAGEMENT LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| TERES INTERNATIONAL GROUP | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor or syndicator of limited partnershipsSponsor, 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 |
|---|---|---|---|---|---|
| LAURIE, GRADY, MCGOWN | Individual | – | CCO | 03/2014 | < 5% |
| CULLEN, STEVEN, PETER | Individual | – | CFO | 03/2014 | < 5% |
| RECORD PLC | Foreign Entity | – | PARENT COMPANY (100% OWNER) | 06/2011 | > 75% |
| RECORD, NEIL, PETER | Individual | RECORD PLC | CHAIRMAN | 12/2007 | 25-50% |
| MEIER, LESLIE, FRANCOISE | Individual | – | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 02/2020 | < 5% |