AURUM RESEARCH LIMITED
Adviser information for AURUM RESEARCH LIMITED last updated from Form ADV on February 6th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | United Kingdom |
Employees
| Total Number of Employees | 0 |
|---|---|
| Investment Advisory/Research | 0 |
| 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 | No |
|---|
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 | 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 | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | – |
|---|---|
| Compensation | – |
Identifiers
| SEC RIA File Number | 802-121978 |
|---|---|
| SEC ERA File Number | 802-121978 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 312874 |
| Legal Entity Identifier | None |
Principal Office
IXWORTH HOUSE, 37 IXWORTH PLACELONDON
United Kingdom
Monday - Friday, 9AM - 5PM
Tel: 44 207 589 8899, Fax: None
Chief Compliance Officer
DAMIEN HILL
IXWORTH HOUSE
37 IXWORTH PLACE
LONDON
United Kingdom
Tel:
02075898899
D**********@********M
(Full email address available in API data)
Industry Affiliates
| AURUM FUND MANAGEMENT LTD. | Other investment adviser, including financial planners |
| AURUM FUNDS LIMITED | Commodity pool operator or commodity trading advisor |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| Gundle, Kevin, Roy | Individual | – | DIRECTOR AND SHAREHOLDER | 05/1994 | 10-25% |
| Sweidan, Adam, David | Individual | – | DIRECTOR | 07/2002 | < 5% |
| Sweidan, Jason, Saul | Individual | – | DIRECTOR | 05/2013 | < 5% |
| Sweidan, Dennis | Individual | – | DIRECTOR | 05/2007 | < 5% |
| Gundle, Clifford, John | Individual | – | DIRECTOR | 05/2002 | < 5% |
| AURUM FUND MANAGEMENT LTD. | Foreign Entity | – | SHAREHOLDER | 05/1994 | > 75% |
| Edwards, Barrie | Individual | – | DIRECTOR | 01/2024 | < 5% |