RATHBONES
Latest filing: Oct 28, 2024 (170 days ago)
AUM
$63,617,140,671
0% change vs. 1 year ago
-7% change vs. 3 years ago
12% change vs. 5 years ago
69% change vs. 10 years ago
Employee Count
1,293
0% change vs. 1 year ago
29% change vs. 3 years ago
41% change vs. 5 years ago
122% change vs. 10 years ago
Main Office
LIVERPOOL,
PORT OF LIVERPOOL BUILDING, LIVERPOOL, , UNITED KINGDOM, L3 1NW
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $56.5 |
| Non-Discretionary | $7.1 |
| Total | $63.6 |
| Client | AUM |
|---|---|
| Retail | $41.1 |
| Pooled | $0.0 |
| Institutional | $22.5 |
| Total | $63.6 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 56,980 | $16.2 |
| Average Individual AUM | $283,867 | |
| HNW | 9,342 | $24.9 |
| Average HNW AUM | $2,666,727 | |
| Retail Total | 66,322 | $41.1 |
| Average Retail AUM | $619,512 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| RATHBONE NOMINEES LIMITED | LIVERPOOL--GBR | $47.7 |
| BANK OF NEW YORK MELLON | LONDON--GBR | $12.0 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $63.6 |
| Retail SMA AUM | $41.1 |
| Institutional SMA AUM | $22.5 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 34% | $21.6 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 0% | $0.0 |
| Municipal | 0% | $0.0 |
| Sovereign | 9% | $5.7 |
| IG Credit | 2% | $1.3 |
| HY Credit | 1% | $0.6 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 0% | $0.0 |
| Other Pools | 50% | $31.8 |
| Cash | 4% | $2.5 |
| Other | 0% | $0.0 |
| Total | 100% | $63.6 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| CASTLE INVESTMENT SOLUTIONS LTD | $0.0 | - | |
| VISION INDEPENDENT FINANCIAL PLANNING LTD | $0.0 | - | |
| RATHBONES ASSET MANAGEMENT LIMTED | $0.0 | - | |
| INVESTEC WEALTH & INVESTMENT LIMITED | $0.0 | - | |
| SAUNDERSON HOUSE LIMITED | $0.0 | - | |
| RATHBONES TRUST COMPANY LIMITED | $0.0 | trust company, law firm | - |
| RATHBONES INVESTMENT MANAGEMENT INTERNATIONAL LTD | $0.0 | - | |
| MURRAY ASSET MANAGEMENT UK LIMITED | $0.0 | - | |
| INVESTEC WEALTH & INVESTMENT (CHANNEL ISLANDS) LIMITED | $0.0 | - | |
| RATHBONE NOMINEES LIMITED | $0.0 | trust company | - |
| RATHBONES TRUST LEGAL SERVICES LIMITED | $0.0 | trust company, law firm | - |
| RATHBONE LUXEMBURG SICAV | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
13 active
| Name | Title |
|---|---|
| STOCKTON, ROBERT, PAUL | CHIEF EXECUTIVE RATHBONES INVESTMENT MANAGEMENT LTD |
| COLLINGE, LESLEY-ANNE | CHIEF COMPLIANCE OFFICER |
| GENTLEMAN, SARAH, FELICITY | NON EXECUTIVE DIRECTOR RATHBONES INVESTMENT MANAGEMENT LTD |
| DUHON, TERRI, LYNN | NON EXECUTIVE DIRECTOR RATHBONES INVESTMENT MANAGEMENT LTD |
| BRODIE, ANDREW, JOHN PATERSON | CHIEF OPERATING OFFICER |
| BANNISTER, CLIVE, CHRISTOPHER ROGER | CHAIRMAN RATHBONES INVESTMENT MANAGEMENT LTD |
| CUMMINGS, IAIN, ALEXANDER | NON EXECUTIVE DIRECTOR RATHBONES INVESTMENT MANAGEMENT LTD |
| MISTRY, DHARMASH, PRAVIN | NON EXECUTIVE DIRECTOR RATHBONES INVESTMENT MANAGEMENT LTD |
| O'SHEA, HENRIETTA, CAROLINE | NON-EXECUTIVE DIRECTOR |
| LEAS, RUTH | NON-EXECUTIVE DIRECTOR |
| HOOLEY, IAIN, WILLIAM | CHIEF FINANCIAL OFFICER AND EXECUTIVE DIRECTOR |
ADVDB.CO • SOURCE: SEC
Representatives
| No representatives found with matching CRD |
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-03-06 | $63.6 | $0.0 | 0% | 1,293 | 0 | 0% |
| 2024-04-02 | $63.6 | $0.0 | 0% | 1,293 | 0 | 0% |
| 2023-04-04 | $54.5 | $9.1 | 17% | 1,120 | 173 | 15% |
| 2022-04-01 | $68.2 | -$4.6 | -7% | 1,000 | 293 | 29% |
| 2021-04-05 | $61.2 | $2.4 | 4% | 744 | 549 | 74% |
| 2020-04-01 | $56.6 | $7.0 | 12% | 915 | 378 | 41% |
| 2019-04-01 | $39.8 | $23.8 | 60% | 803 | 490 | 61% |
| 2018-04-02 | $44.8 | $18.8 | 42% | 727 | 566 | 78% |
| 2017-04-01 | $36.4 | $27.2 | 75% | 644 | 649 | 101% |
| 2016-04-01 | $37.6 | $26.0 | 69% | 605 | 688 | 114% |
| 2015-04-01 | $37.6 | $26.0 | 69% | 582 | 711 | 122% |
| 2014-04-01 | $32.9 | $30.7 | 93% | 503 | 790 | 157% |
| 2013-04-01 | $26.7 | $36.9 | 138% | 503 | 790 | 157% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| AZ-03/26/2020, CA-03/21/2012, CO-03/22/2018, CT-03/21/2012, DC-03/21/2012, FL-03/22/2012, GA-03/22/2018, MA-03/21/2012, MD-03/21/2012, MN-03/22/2018, NC-03/21/2012, NJ-04/10/2012, NY-03/21/2012, OR-08/12/2019, PA-03/21/2012, TX-03/21/2012, VA-03/24/2015, WA-03/21/2012 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (SMB) PENSION CONSULTING NEWSLETTERS EDUCATIONAL WORKSHOPS |
| OTHER ACTIVITIES |
|
BANK |
ADVDB.CO • SOURCE: SEC FORM ADV