Alvarium Fund Managers (UK) Limited

• Principal Place of Business

  Matthew Mawhinney and David Philip Soden

  C/O TENEO FINANCIAL ADVISORY LIMITED

  The Colmore Building

  20 Colmore Circus Queensway

  Birmingham

  B4 6AT

  UNITED KINGDOM

  Phone

  +441216100120

• Complaints Contact

  C/O TENEO FINANCIAL ADVISORY LIMITED

  The Colmore Building

  20 Colmore Circus Queensway

  Birmingham

  B4 6AT

  UNITED KINGDOM

  Phone

  +441216100120

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

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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 Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

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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.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

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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.

• Stockbroking

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

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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.

• Runs Investment Funds

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

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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.

• Specialist Investment Funds

• Private Investment Funds

• Manages Your Portfolio

  For Professional, Certificates representing certain security, Debenture, Future (excluding a commodity future and a rolling spot forex contract), Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

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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.

• Nancy Ann Curtin

  IRN NAC01031

  • [FCA CF] Client dealing (4 May 2020 to 23 Jan 2024)
• Nicholas Alexander Kinder

  IRN NXK19615

  • Director of firm who is not a certification employee or a SMF manager (16 Apr 2021 to 23 Jan 2023)
  • CF2 Non Executive Director (20 Nov 2019 to 8 Dec 2019)
• Nicholas Barker

  IRN NXB01555

  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 6 Jan 2023)
  • SMF3 Executive Director (9 Dec 2019 to 6 Jan 2023)
  • SMF16 Compliance Oversight (9 Dec 2019 to 6 Jan 2023)
  • CF30 Customer (25 Jul 2017 to 8 Dec 2019)
  • CF10 Compliance Oversight (8 Feb 2017 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (8 Feb 2017 to 8 Dec 2019)
  • CF1 Director (8 Feb 2017 to 8 Dec 2019)
• Nicholas James Nawrat

  IRN NXN00114

  • SMF3 Executive Director (since 6 Feb 2024)
• Oliver Dominic Ronald Butt

  IRN ODB01004

  • Director of firm who is not a certification employee or a SMF manager (17 Mar 2022 to 10 Jul 2025)
• Richard Franklin O'Hagan

  IRN RFO01013

  • CF1 Director (28 Dec 2016 to 28 Feb 2017)
• Robert James Stanley Burton

  IRN RJB01595

  • SMF3 Executive Director (9 Dec 2019 to 27 Feb 2024)
  • CF11 Money Laundering Reporting (28 Dec 2016 to 26 Jan 2017)
  • CF1 Director (28 Dec 2016 to 8 Dec 2019)
• Rohit Maini

  IRN RXM18105

  • [FCA CF] Client dealing (9 Dec 2019 to 25 Dec 2021)
  • CF30 Customer (30 Oct 2019 to 8 Dec 2019)
• Sergey Mosesov

  IRN SXM03758

  • CF30 Customer (21 Jun 2018 to 8 Dec 2019)
• Simon James Haarer

  IRN SXH91426

  • CF30 Customer (20 Dec 2021 to 25 May 2023)

• AlTi CI Advisors (UK) Limited (no longer appointed)

  FRN 839554 · Appointed 20 Jan 2022 · Until 12 Jul 2023

• LXI REIT Advisors Limited (no longer appointed)

  FRN 768283 · Appointed 30 Sep 2021 · Until 6 Mar 2024

• Osprey Equity Partners Limited (no longer appointed)

  FRN 606843 · Appointed 30 Sep 2021 · Until 29 Mar 2023

• Bluestar Advisors Limited (no longer appointed)

  FRN 937400 · Appointed 29 Oct 2020 · Until 24 Feb 2023

No changes recorded yet.