Windmill Hill Asset Management Limited

• Principal Place of Business

  Windmill Hill Asset Management

  Windmill Hill

  Silk Street

  Waddesdon

  Aylesbury

  Buckinghamshire

  HP18 0JZ

  UNITED KINGDOM

  Phone

  +442038153100

• Complaints Contact

  Windmill Hill Asset Management

  Windmill Hill

  Silk Street

  Waddesdon

  Aylesbury

  Buckinghamshire

  HP18 0JZ

  UNITED KINGDOM

  Phone

  +442038153062

• 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, Unit, Warrant

  Show 4 limitations Hide limitations

  • · Limited to advisory-only activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · 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, Unit, Warrant

  Show 4 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to sub-underwriting on behalf of a customer and in carrying on such activities to the specified investment type "share", "debenture", "government and public security", "warrant", "certificate representing certain security", "unit" and "right to or interest in investments - security", (when the latter is associated with these specified investments).
  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".

• 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, Unit, Warrant

  Show 1 limitation Hide limitations

  • · 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, Unit, Warrant

  Show 3 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• 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, Unit, Warrant

  Show 4 limitations Hide limitations

  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to transaction-only activities.

• 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, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Ion Bogdaneris

  IRN IXB01217

  • CF1 Director (1 Apr 2010 to 12 Nov 2011)
  • CF30 Customer (1 Apr 2010 to 12 Nov 2011)
• James Nicholas Wheeler

  IRN JNW01017

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (18 May 2015 to 8 Dec 2019)
• Jonathan Andrew Kestenbaum

  IRN JAK01130

  • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
  • CF2 Non Executive Director (28 May 2013 to 8 Dec 2019)
• Kerry Siow Hong Goh

  IRN KSG01026

  • CF27 Investment Management (26 May 2005 to 5 Apr 2007)
  • CF21 Investment Adviser (26 May 2005 to 5 Apr 2007)
• Leslie Jane Ferrar

  IRN LJF01051

  • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
  • CF2 Non Executive Director (31 May 2013 to 8 Dec 2019)
• Magnus James Goodlad

  IRN MJG01156

  • SMF3 Executive Director (9 Dec 2019 to 31 Dec 2019)
  • CF30 Customer (9 Mar 2016 to 31 Dec 2019)
  • CF1 Director (11 Nov 2014 to 8 Dec 2019)
  • CF1 Director (AR) (7 Nov 2014 to 31 Dec 2019)
• Mandip Singh Sohal

  IRN MSS01040

  • CF10 Compliance Oversight (1 Dec 2001 to 12 Jan 2007)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 12 Jan 2007)
• Maria Manthorpe

  IRN MXM03470

  • CF10 Compliance Oversight (10 Apr 2015 to 31 Jul 2017)
• Maureen Frances Kirwan

  IRN MFK01018

  • CF26 Customer Trading (13 Jul 2006 to 12 Jan 2007)
• Mikael Breuer-Weil

  IRN MXB01387

  • Director of firm who is not a certification employee or a SMF manager (25 Apr 2022 to 5 Aug 2025)
  • CF30 Customer (1 Nov 2007 to 26 Jun 2008)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)

• J Rothschild Services Limited

  FRN 593084 · Appointed 18 Dec 2012

No changes recorded yet.