INVESTCORP SECURITIES LIMITED
Adviser information for INVESTCORP SECURITIES LIMITED last updated from Form ADV on October 2nd, 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 | JUNE |
| 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 | – |
| Other Business Activities | Broker-dealer |
Identifiers
| SEC RIA File Number | 802-128107 |
|---|---|
| SEC ERA File Number | 802-128107 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 287521 |
| Legal Entity Identifier | None |
Principal Office
48 GROSVENOR STREETLONDON, ENGLAND
United Kingdom
Monday - Friday, 9:00 A.M. TO 5:30 P.M.
Tel: 44 (0)20 7629 6600, Fax: 44 (0)20 7499 0371
Chief Compliance Officer
TIMOTHY PAUL DUCK
INTERIM CHIEF COMPLIANCE OFFICER
48 GROSVENOR STREET
LONDON, ENGLAND
United Kingdom
Tel:
44 (0)20 7629 6600
T****@*************M
(Full email address available in API data)
Industry Affiliates
| CM INVESTMENT PARTNERS, LLC | Other investment adviser, including financial planners |
| ICM NOMINEES HOLDING LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| INVESTCORP (ABU DHABI) LIMITED | Other investment adviser, including financial planners |
| INVESTCORP ABSOLUTE RETURN INVESTMENTS LLC | Other investment adviser, including financial planners |
| INVESTCORP ASIA FINANCIAL SERVICES PTE. LTD. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| INVESTCORP ASSET ADVISORY SERVICES LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| INVESTCORP CORPORATE SERVICES LIMITED | Other investment adviser, including financial planners |
| INVESTCORP CREDIT MANAGEMENT EU LIMITED | Other investment adviser, including financial planners |
| INVESTCORP CREDIT MANAGEMENT US LLC | Other investment adviser, including financial planners |
| INVESTCORP FINANCIAL SERVICES B.S.C. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| INVESTCORP FUND MANAGEMENT SERVICES LIMITED | Other investment adviser, including financial planners |
| INVESTCORP GULF INVESTMENTS BSC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| INVESTCORP INDIA ASSET MANAGERS PRIVATE LIMITED | Other investment adviser, including financial planners |
| INVESTCORP INVESTMENT ADVISERS LLC | Other investment adviser, including financial planners |
| INVESTCORP INVESTMENT MANAGERS INDIA LLP | Other investment adviser, including financial planners |
| INVESTCORP INVESTMENT SOLUTIONS LLC | Other investment adviser, including financial planners |
| INVESTCORP JAPAN, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| INVESTCORP MALTA LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| INVESTCORP MANAGEMENT HOLDINGS, L.P. | Other investment adviser, including financial planners |
| INVESTCORP PRIVATE EQUITY 2007 FUND GP LP | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| INVESTCORP SAUDI ARABIA FINANCIAL INVESTMENTS CO. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| INVESTCORP TECHNOLOGY FUND IV GP LIMITED PARTNERSHIP | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| INVESTCORP TECHNOLOGY FUND V GP LIMITED PARTNERSHIP | Sponsor, GP, manager of pooled investment vehicles |
| INVESTCORP TECHNOLOGY FUND V GP S.A R.L. | Sponsor, GP, manager of pooled investment vehicles |
| INVESTCORP TECHNOLOGY SECONDARY FUND 2018 GP, LP | Sponsor, GP, manager of pooled investment vehicles |
| MARBLE POINT CLO MANAGEMENT LLC | Other investment adviser, including financial planners |
| MARBLE POINT CREDIT MANAGEMENT LLC | Other investment adviser, including financial planners |
| MERCURY CAPITAL ADVISORS UNIPESSOAL, LDA | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| MERCURY CAPITAL ADVISORS, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| MERCURY CAPITAL ADVISORS, LLP | Other investment adviser, including financial planners |
| MP CLO MANAGEMENT LLC | Other investment adviser, including financial planners |
| N.A. INVESTCORP LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| TAGES CAPITAL LLP | Other investment adviser, including financial planners |
| TAGES CAPITAL SGR S.P.A. | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| INVESTCORP TECHNOLOGY PARTNERS IV-C, L.P. | Private Equity Fund | $265.3M | $0.0M | 24 |
| INVESTCORP TECHNOLOGY PARTNERS V S.C.A. SICAV RAIF | Private Equity Fund | $154.5M | $0.0M | 4 |
| INVESTCORP TECHNOLOGY PARTNERS V-B, L.P | Private Equity Fund | $32.2M | $0.0M | 12 |
| INVESTCORP TECHNOLOGY PARTNERS V-LUX, SCSP | Private Equity Fund | $51.9M | $0.8M | 30 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| INVESTCORP INTERNATIONAL LIMITED | Foreign Entity | – | SHAREHOLDER | 12/1990 | > 75% |
| INVESTCORP S.A. | Foreign Entity | INVESTCORP INTERNATIONAL LIMITED | SHAREHOLDER | 06/2003 | > 75% |
| INVESTCORP HOLDINGS LTD | Foreign Entity | INVESTCORP S.A. | SHAREHOLDER | 04/2003 | > 75% |
| CP HOLDINGS LTD | Foreign Entity | INVESTCORP HOLDINGS LTD | SHAREHOLDER | 07/2003 | 50-75% |
| OWNERSHIP HOLDINGS LTD | Foreign Entity | CP HOLDINGS LTD | SHAREHOLDER | 07/2003 | 50-75% |
| SIPCO LTD | Foreign Entity | OWNERSHIP HOLDINGS LTD | SHAREHOLDER | 12/2002 | 25-50% |
| SINFIELD-HAIN, CRAIG | Individual | – | DIRECTOR | 08/2017 | < 5% |
| Davis, Andrea, Jayne | Individual | – | DIRECTOR | 08/2018 | < 5% |
| HASSON, NEIL, NISSIM | Individual | – | DIRECTOR | 09/2017 | < 5% |
| Kamieniecky, Gilbert, Benjamin | Individual | – | DIRECTOR | 11/2019 | < 5% |
| IESIP INVESTMENTS SPC LTD | Foreign Entity | SIPCO LTD | SHAREHOLDER | 12/2020 | 50-75% |
| IESIP HOLDINGS LTD | Foreign Entity | IESIP INVESTMENTS SPC LTD | SHAREHOLDER | 12/2020 | > 75% |
| Pfeifer, Jose, Ignacio | Individual | – | DIRECTOR, CHIEF EXECUTIVE OFFICER | 03/2023 | < 5% |
| SIPCO HOLDINGS LTD | Foreign Entity | IESIP HOLDINGS LTD | SHAREHOLDER | 06/2023 | > 75% |
| DUCK, TIM, PAUL | Individual | – | INTERIM CHIEF COMPLIANCE OFFICER | 08/2023 | < 5% |