Adaurum Limited

• Principal Place of Business

  Stoke Field Farm

  Knightsbridge Lane

  Pyrton

  Watlington

  OX49 5AT

  UNITED KINGDOM

  Phone

  +4401491613999

  Web

  https://www.adaurum.com

• Complaints Contact

  Stoke Field Farm

  Knightsbridge Lane

  Pyrton

  Watlington

  OX49 5AT

  UNITED KINGDOM

  Phone

  +4401491613999

• Pension Transfer Advice

  For Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

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  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.

• Investment Advice (no pensions)

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Structured Deposits, Unit

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Authorised to Operate

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Structured Deposits, Unit

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Debt Advice

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  • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

• Investment Setup

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Structured Deposits, Unit

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• David Paul Agg

  IRN DPA00001

  • CF30 Customer (1 Nov 2007 to 26 Mar 2010)
  • CF21 Investment Adviser (1 Oct 2004 to 31 Oct 2007)
• Elizabeth Ann Mente-Bishop

  IRN EAM01090

  • CF2 Non Executive Director (9 Oct 2007 to 11 Jun 2014)
• Jessica Josephine Philbrick

  IRN JJP01060

  • CF30 Customer (1 Nov 2007 to 20 Dec 2010)
  • CF21 Investment Adviser (24 Nov 2006 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (11 Nov 2005 to 24 Nov 2006)
• John David Murphy

  IRN JDM00046

  • CF30 Customer (1 Nov 2007 to 20 Dec 2010)
  • CF24 Pension Transfer Specialist (1 Oct 2004 to 31 Oct 2007)
• Mark Andrew Powling

  IRN MAP00021

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 3 Feb 2021)
  • [FCA CF] Client dealing (since 3 Feb 2021)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Oct 2004 to 31 Oct 2007)
• Murray Bishop

  IRN MXB00114

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • Responsible for Insurance Distribution (since 8 Oct 2025)
  • [FCA CF] Client dealing (since 3 Feb 2021)
  • [FCA CF] Functions requiring qualifications (since 3 Feb 2021)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • Responsibility for MCD Intermediation (7 Nov 2016 to 28 Oct 2025)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • Responsible for Insurance Mediation (14 Jan 2005 to 26 Oct 2016)
  • CF8 Apportionment and Oversight (4 Oct 2004 to 31 Mar 2009)
  • CF1 Director (1 Oct 2004 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Oct 2004 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Oct 2004 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Oct 2004 to 31 Oct 2007)
• Nicholas Ronald Shuttleworth

  IRN NRS00024

  • CF30 Customer (1 Nov 2007 to 1 Sep 2008)
  • CF21 Investment Adviser (28 Aug 2007 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (8 Jan 2007 to 13 Sep 2007)

No changes recorded yet.