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.

  • Riaz Khan

    IRN RMK01071

    • [FCA CF] Client dealing (since 9 Dec 2025)
  • Richard Adriaan Böttger

    IRN RXB00714

    • [FCA CF] Significant management (17 Oct 2022 to 25 Oct 2022)
    • [FCA CF] Client dealing (17 Oct 2022 to 25 Oct 2022)
  • Richard Anthony Crookes

    IRN RXC00030

    • CF30 Customer (since 12 Apr 2024)
    • CF1 Director (AR) (since 12 Apr 2024)
  • Richard David Harpin

    IRN RDH01078

    • CF4 Partner (AR) (since 1 Dec 2025)
  • Richard Reed

    IRN RXR00268

    • CF4 Partner (AR) (2 Dec 2022 to 2 May 2024)
    • CF30 Customer (2 Dec 2022 to 2 May 2024)
    • [FCA CF] Client dealing (21 Oct 2022 to 7 May 2024)
  • Richard Warren Bains

    IRN RWB01061

    • CF1 Director (AR) (since 17 Apr 2025)
  • Robert Andrew Hall

    IRN RXH00392

    • CF1 Director (AR) (10 Aug 2021 to 20 Feb 2023)
    • CF30 Customer (10 Aug 2021 to 20 Feb 2023)
  • Robert James Marshall-lee

    IRN RJM01179

    • CF30 Customer (26 Jul 2022 to 23 Aug 2023)
    • CF4 Partner (AR) (26 Jul 2022 to 23 Aug 2023)
    • [FCA CF] Client dealing (23 Jun 2022 to 19 Apr 2024)
    • [FCA CF] Significant management (23 Jun 2022 to 19 Apr 2024)
  • Robert Jay Gottlieb

    IRN RJG01219

    • Director of firm who is not a certification employee or a SMF manager (since 12 Apr 2024)
    • [FCA CF] Client dealing (since 1 Dec 2022)
    • SMF3 Executive Director (9 Dec 2019 to 12 Apr 2024)
    • Responsible for Insurance Mediation (10 Sep 2013 to 3 Aug 2016)
    • CF1 Director (1 Aug 2011 to 8 Dec 2019)
    • CF30 Customer (1 Aug 2011 to 8 Dec 2019)
    • CF3 Chief Executive (1 Aug 2011 to 28 Aug 2019)
    • CF11 Money Laundering Reporting (1 Aug 2011 to 28 May 2019)
    • CF10 Compliance Oversight (1 Aug 2011 to 28 May 2019)
  • Robert Lane

    IRN RGL01026

    • [FCA CF] Client dealing (since 31 Jul 2025)
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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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