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.

  • Rupert David Edward Parry

    IRN RXP06618

    • [FCA CF] Significant management (since 9 Mar 2026)
    • [FCA CF] Client dealing (since 9 Mar 2026)
  • Ryan Packard

    IRN RXP00769

    • [FCA CF] Significant management (since 22 Dec 2025)
    • [FCA CF] Client dealing (since 22 Dec 2025)
  • Samuel Yan-Ben Lee

    IRN SXL00343

    • CF2 Non Executive Director (AR) (28 Apr 2023 to 1 Mar 2024)
    • [FCA CF] Significant management (21 Jul 2022 to 22 Feb 2024)
    • CF30 Customer (9 Sep 2021 to 27 Feb 2024)
    • CF1 Director (AR) (9 Sep 2021 to 28 Apr 2023)
  • Sanjay Mahtani

    IRN SXM00618

    • [FCA CF] Significant management (since 13 Aug 2025)
    • [FCA CF] Client dealing (since 13 Aug 2025)
  • Sanmi Oluwaseun Adegoke

    IRN SXA00920

    • CF30 Customer (24 Mar 2024 to 24 Feb 2025)
    • CF1 Director (AR) (24 Mar 2024 to 24 Feb 2025)
    • [FCA CF] Client dealing (14 Mar 2024 to 24 Feb 2025)
    • [FCA CF] Significant management (14 Mar 2024 to 24 Feb 2025)
  • Santiago Braje

    IRN SXB01980

    • [FCA CF] Client dealing (since 12 Mar 2026)
    • [FCA CF] Significant management (since 12 Mar 2026)
  • Sarah Manno

    IRN SXM04499

    • CF30 Customer (16 Jun 2024 to 3 Jan 2025)
  • Scott Christopher Jones

    IRN SCJ01061

    • CF30 Customer (since 1 Apr 2022)
    • [FCA CF] Client dealing (since 11 Feb 2022)
    • CF1 Director (AR) (1 Apr 2022 to 15 Jan 2026)
  • Sean Murphy

    IRN SXM00780

    • [FCA CF] Client dealing (11 Nov 2025 to 31 Mar 2026)
    • [FCA CF] Significant management (11 Nov 2025 to 31 Mar 2026)
  • Simon Anthony Crooks

    IRN SAC01263

    • [FCA CF] Client dealing (12 Jan 2023 to 27 Jun 2023)
    • [FCA CF] Significant management (12 Jan 2023 to 27 Jun 2023)
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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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