AISA INTERNATIONAL
AISA FINANCIAL PLANNING LTD Legal Name
Adviser information for AISA INTERNATIONAL last updated from Form ADV on February 26th, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | NOVEMBER |
| Legal Location | United Kingdom |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 22 | $21.0M |
| Total | 22 | $21.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 9 | $4.7M |
| HNW Individuals | 18 | $16.4M |
| 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 | 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 30 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting services |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-80308 |
|---|---|
| SEC ERA File Number | 801-80308 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 172777 |
| Legal Entity Identifier | 213800SU4Y48ZDOJO463 |
Principal Office
UNIT 5, THE GRAIN STOREMANOR FARM COATE
DEVIZES
United Kingdom
Monday - Friday, 9AM-5PM
Tel: 0044-1672-569966, Fax: None
Chief Compliance Officer
JAMES PEARCY-CALDWELL
DIRECTOR
UNIT 5, THE GRAIN STRORE
MANOR FARM COATE
DEVIZES
United Kingdom
Tel:
0044 1672 569111
A****@*********************M
(Full email address available in API data)
Regulatory Contact
AILSA MCFAYDEN
UNIT 5, THE GRAIN STORE
MANOR FARM COATE
DEVIZES
United Kingdom
Tel:
0044 1672 569111
A****@*********************M
(Full email address available in API data)
Industry Affiliates
| AISA INTERNATIONAL S.R.O | 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 |
|---|---|---|---|---|---|
| PEARCY-CALDWELL, JAMES, LEONARD | Individual | – | DIRECTOR/CHIEF COMPLIANCE OFFICER | 09/1999 | 50-75% |
| TUTTON, CLIVE, RAYMOND | Individual | – | DIRECTOR | 09/1999 | 50-75% |