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.

  • David Fazel

    IRN DMF01077

    • [FCA CF] Client dealing (since 5 Aug 2025)
    • [FCA CF] Significant management (since 5 Aug 2025)
  • David Giacomo Mercurio

    IRN DGM01123

    • CF1 Director (AR) (since 3 May 2024)
    • CF3 Chief Executive (AR) (since 3 May 2024)
    • [FCA CF] Client dealing (since 13 Feb 2024)
    • [FCA CF] Significant management (since 13 Feb 2024)
  • David Herman Alfred Reitman

    IRN DHR01021

    • CF1 Director (AR) (15 Feb 2025 to 20 Apr 2026)
  • David Ian Kemp

    IRN DIK00015

    • CF30 Customer (1 Mar 2016 to 8 Jun 2018)
  • David Mizrahi

    IRN DXM09378

    • CF30 Customer (since 26 Nov 2025)
    • [FCA CF] Client dealing (since 20 Oct 2025)
    • CF1 Director (AR) (26 Nov 2025 to 28 Nov 2025)
  • David Robin Boldt

    IRN RDB01127

    • CF30 Customer (since 16 Sep 2025)
    • CF1 Director (AR) (since 16 Sep 2025)
    • CF3 Chief Executive (AR) (since 16 Sep 2025)
    • [FCA CF] Significant management (since 5 Aug 2025)
    • [FCA CF] Client dealing (since 5 Aug 2025)
  • David Simon Tovar

    IRN DST01042

    • [FCA CF] Significant management (since 25 Sep 2024)
    • [FCA CF] Client dealing (since 25 Sep 2024)
  • David Soden

    IRN DXS01193

    • CF1 Director (AR) (since 17 Nov 2025)
    • CF30 Customer (since 17 Nov 2025)
    • [FCA CF] Client dealing (since 29 Sep 2025)
  • David Stefanovits

    IRN DXS01201

    • [FCA CF] Client dealing (since 23 Oct 2025)
    • [FCA CF] Significant management (since 23 Oct 2025)
  • David Thierry Cornil Dernis

    IRN DTD01025

    • [FCA CF] Client dealing (15 Aug 2022 to 19 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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