RiverPeak Wealth Limited

• Principal Place of Business

  The Dairy Office

  Burrell Road

  Haywards Heath

  West Sussex

  RH16 1TW

  UNITED KINGDOM

  Phone

  +4402037709892

  Web

  https://www.riverpeakwealth.com

• Complaints Contact

  The Dairy Office

  Burrell Road

  Haywards Heath

  West Sussex

  RH16 1TW

  UNITED KINGDOM

  Phone

  +4402037709892

• P2P Lending Advice

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• Pension Transfer Advice

  For Professional, Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

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  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.
  • · 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.

• Investment Advice (no pensions)

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, 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 Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, 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.

• Credit Brokering

• Debt Advice

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  • · This permission is limited to debt counselling with no debt management activity

• Consumer Loans

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  • · Limited to lending where no charge (by way of interest or otherwise) is payable by the borrower in connection with the provision of credit under the regulated credit agreement.
  • · Limited to lending that is in connection with the repayment of fees relating to the provision of professional services

• Loan Servicing

• Investment Setup

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, 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.

• Benedict James Elwes

  IRN BJE01013

  • CF30 Customer (14 Oct 2016 to 13 Jan 2017)
• Daniel George Wright

  IRN DXW00475

  • [FCA CF] Functions requiring qualifications (20 Apr 2022 to 17 Oct 2025)
  • [FCA CF] Client dealing (20 Apr 2022 to 17 Oct 2025)
• Edward James Baskerville Nice

  IRN EJN00003

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • [FCA CF] Functions requiring qualifications (since 2 Sep 2024)
  • [FCA CF] Client dealing (since 2 Sep 2024)
• James Oliver Powell

  IRN JOP00002

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • [FCA CF] Client dealing (since 18 Nov 2020)
  • [FCA CF] Functions requiring qualifications (since 18 Nov 2020)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF10 Compliance Oversight (2 Jan 2015 to 8 Dec 2019)
  • CF30 Customer (2 Jan 2015 to 8 Dec 2019)
  • Responsible for Insurance Mediation (2 Jan 2015 to 30 Sep 2018)
  • CF1 Director (2 Jan 2015 to 8 Dec 2019)
• Nicholas Leslie Parker

  IRN NLP01004

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 19 Nov 2020)
  • [FCA CF] Functions requiring qualifications (since 19 Nov 2020)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF30 Customer (2 Jan 2015 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (2 Jan 2015 to 8 Dec 2019)
  • CF1 Director (2 Jan 2015 to 8 Dec 2019)
• Shauna Louise Bevan

  IRN SLC01052

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 18 Nov 2020)
  • [FCA CF] Client dealing (since 18 Nov 2020)
  • CF30 Customer (1 Dec 2016 to 8 Dec 2019)
• Thomas James Roseman

  IRN TXR00013

  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 4 Sep 2025)
  • [FCA CF] Client dealing (since 4 Sep 2025)

No changes recorded yet.