ROCKHAMPTON MANAGEMENT
Adviser information for ROCKHAMPTON MANAGEMENT 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 | Corporation |
|---|---|
| Fiscal Year End | MARCH |
| Legal Location | Japan |
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 | 802-77365 |
|---|---|
| SEC ERA File Number | 802-77365 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 164505 |
| Legal Entity Identifier | 254900K6V4XKEIM1X449 |
Principal Office
ARK MORI BUILDING, 19/FBOX 578, 1-12-32 AKASAKA, MINATO-KU
TOKYO
Japan
Monday - Friday, 9AM - 5PM
Tel: +81 3 5114 1296, Fax: +81 3 5114 1150
Websites
Chief Compliance Officer
KEN ESPARZA MIZUMACHI
CHIEF OPERATING OFFICER
ARK MORI BUILDING, 19F
BOX 578, 1-12-32 AKASAKA, MINATO-KU
TOKYO
Japan
Tel:
+81 3 5114 1292
K*******@******************M
(Full email address available in API data)
Industry Affiliates
| ROCKHAMPTON MANAGEMENT LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, 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 |
|---|---|---|---|---|---|
| ROCKHAMPTON MANAGEMENT LIMITED | Foreign Entity | – | SHAREHOLDER | 06/2010 | > 75% |
| FORDAY, ERIC, DONALD | Individual | – | CHIEF EXECUTIVE OFFICER/ DIRECTOR | 04/2010 | < 5% |
| FORDAY, ERIC, DONALD | Individual | ROCKHAMPTON MANAGEMENT LIMITED | SHAREHOLDER | 05/2010 | > 75% |
| KANEKO, ITSUKO | Individual | – | DIRECTOR | 04/2010 | < 5% |
| Teranishi, Mark | Individual | – | DIRECTOR | 06/2020 | < 5% |