ROCKHAMPTON MANAGEMENT LIMITED
Adviser information for ROCKHAMPTON MANAGEMENT LIMITED last updated from Form ADV on May 31st, 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 | Other (specify) |
|---|---|
| Fiscal Year End | MARCH |
| Legal Location | Hong Kong |
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 | – |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 802-125855 |
|---|---|
| SEC ERA File Number | 802-125855 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 318923 |
| Legal Entity Identifier | 254900QA03JXZT9QG685 |
Principal Office
UNIT 4605-6, 46/F, THE CENTER,99 QUEEN'S ROAD CENTRAL
HONG KONG
Hong Kong
Monday - Friday, 9:00AM - 6:00 PM
Tel: +852-2851 8055, Fax: None
Websites
Chief Compliance Officer
KEN ESPARZA
CHIEF OPERATING OFFICER
ARK MORI BUILDING, 19F, PO BOX 578,
1-12-32 AKASAKA, MINATO-KU
TOKYO
Japan
Tel:
+81 03-5114-1292
K*******@******************M
(Full email address available in API data)
Industry Affiliates
| ROCKHAMPTON MANAGEMENT | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| CANOONA FUND | Hedge Fund | $100.3M | $1.0M | 2 |
| ROCKHAMPTON FUND | Hedge Fund | $1,043.6M | $1.0M | 42 |
| ROCKHAMPTON PAN-ASIA FUND | Hedge Fund | $63.6M | $1.0M | 13 |
| YARAKA FUND | Hedge Fund | $536.9M | $1.0M | 30 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| FORDAY, ERIC, DONALD | Individual | – | SHAREHOLDER/DIRECTOR | 05/2010 | > 75% |
| ESPARZA, KEN, IGNACIO | Individual | – | CHIEF OPERATING OFFICER | 06/2021 | < 5% |