CAPRICORN FUND MANAGERS LIMITED

Date authorised
1 April 2013
Companies House
06849383
Last scraped
2 weeks ago
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Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    2nd Floor, Malta House
    36-38 Piccadilly
    London
    W1J 0DP
    UNITED KINGDOM
    Phone
    +447917838117
    Web
    http://www.capricornfundmanagers.com

  • Complaints Contact

    2nd Floor Malta House
    36-38 Piccadilly
    London
    W1J 0DP
    UNITED KINGDOM
    Phone
    +447917838117

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • Investment Advice (no pensions)

    For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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, Spread Bet, Unit, Warrant

    Show 1 limitation
    • · 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

    Show 1 limitation
    • · 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, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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, Spread Bet, Unit, Warrant

    Show 1 limitation
    • · 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, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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, Spread Bet, Unit, Warrant

    Show 1 limitation
    • · 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, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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, Spread Bet, Unit, Warrant

    Show 1 limitation
    • · 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, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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, Spread Bet, Unit, Warrant

  • Retail Investment Funds

  • Private Investment Funds

  • Manages Your Portfolio

    For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, 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, Spread Bet, Unit, Warrant

    Show 1 limitation
    • · 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.

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Alex Kummelstedt

    IRN AXK11214

    • [FCA CF] Client dealing (12 Mar 2021 to 13 Aug 2021)
    • CF30 Customer (5 Feb 2019 to 8 Dec 2019)
  • Alexander David William Price

    IRN ADP01086

    • CF2 Non Executive Director (AR) (since 8 Apr 2025)
  • Alexander Peter Dominic Marsh

    IRN APM01225

    • CF4 Partner (AR) (since 21 Aug 2025)
    • CF30 Customer (since 21 Aug 2025)
  • Alexander Scott

    IRN AJS01762

    • [FCA CF] Client dealing (since 23 Dec 2025)
    • [FCA CF] Significant management (since 23 Dec 2025)
  • Alper Ince

    IRN AXI01071

    • CF1 Director (AR) (since 20 Aug 2024)
    • CF30 Customer (since 20 Aug 2024)
    • CF3 Chief Executive (AR) (since 20 Aug 2024)
  • Aly Kassam

    IRN AXK00845

    • CF1 Director (AR) (since 24 Mar 2024)
    • CF30 Customer (since 24 Mar 2024)
    • [FCA CF] Client dealing (since 6 Mar 2024)
  • Amey Deshpande

    IRN AXD02132

    • [FCA CF] Client dealing (since 16 Mar 2026)
    • [FCA CF] Significant management (since 16 Mar 2026)
  • Amir Neeman

    IRN AXN00384

    • CF1 Director (AR) (5 Aug 2024 to 29 Oct 2025)
  • Amit Lodha

    IRN AXL01598

    • CF1 Director (AR) (31 Jan 2022 to 16 Jun 2023)
    • CF30 Customer (31 Jan 2022 to 16 Jun 2023)
    • [FCA CF] Client dealing (22 Oct 2021 to 19 Jun 2023)
    • [FCA CF] Significant management (22 Oct 2021 to 19 Jun 2023)
  • Andrew Charles Salton

    IRN ACS01080

    • CF30 Customer (7 Jun 2019 to 12 Mar 2021)
    • CF4 Partner (AR) (7 Jun 2019 to 12 Mar 2021)
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Appointed representatives

Smaller firms operating under this firm's FCA authorisation.

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Recent activity

Updates to this firm's record on the FCA register.

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