{"url":"https://nivawealth.com/firms/rathbones-investment-management-limited-124925","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/124925","regulatoryAum":135087393955,"crd":"124925","secFileNumber":"801-64731","legalName":"Rathbones Investment Management Limited","displayName":"Rathbones Investment Management Limited","website":"https://www.rathbones.com","linkedinUrl":"https://www.linkedin.com/company/rathbones-group-plc/","founded":null,"organization":"other (specify) organized in United Kingdom","fiscalYearEnd":"December","headquarters":{"street":"Port of Liverpool Building, Pier Head","city":"Liverpool","state":"","stateName":"","country":"United Kingdom","postalCode":"L3 1NW"},"tradeNames":[],"registration":{"secApproved":"16 November 2005","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":1715,"advisory":725,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"discretionary":118860995003,"discretionaryAccounts":181302,"nonDiscretionary":16226398952,"nonDiscretionaryAccounts":38332,"wrapProgram":null,"nonUsClientsPct":99,"nonAumClients":615},"clientTypes":[{"label":"Individuals (other than HNW)","clients":95035,"regulatoryAum":29114642207},{"label":"High-net-worth individuals","clients":20366,"regulatoryAum":56861038061},{"label":"Banking or thrift institutions","clients":18,"regulatoryAum":183032094},{"label":"Pension and profit-sharing plans","clients":23772,"regulatoryAum":22317534050},{"label":"Charitable organizations","clients":3803,"regulatoryAum":12855281116},{"label":"State or municipal government entities","clients":null,"regulatoryAum":5387166},{"label":"Corporations and other businesses","clients":2089,"regulatoryAum":7897090824},{"label":"Other","clients":5802,"regulatoryAum":5853388437}],"fees":[],"feeNotes":[],"custodians":[{"name":"Rathbone Nominees Limited","shortName":"Rathbone Nominees Limited","location":"Liverpool","smaAssets":47491890298},{"name":"Bank of New York Mellon","shortName":"Bank of New York Mellon","location":"London","smaAssets":35322247081},{"name":"Allfunds Bank Sau London Branch","shortName":"Allfunds Bank Sau London Branch","location":"London","smaAssets":45316478069}],"custodyNote":"Rathbones Investment Management Limited has custody of $3.90B for 147,496 clients.","otherCustodians":[],"leadership":[{"name":"Jonathan Sorrell","title":"Chief Executive Officer","crd":"4216608"},{"name":"Iain Hooley","title":"Chief Financial Officer and Executive Director","crd":"7851053"},{"name":"Michael Turner","title":"Chief Operating Officer","crd":"8197351"},{"name":"Annette Dowden","title":"Chief Compliance Officer","crd":"8211249"},{"name":"Clive Bannister","title":"Chairman Rathbones Investment Management LTD","crd":"7330082"},{"name":"Iain Cummings","title":"Non Executive Director Rathbones Investment Management LTD","crd":"7450597"},{"name":"Terri Duhon","title":"Non Executive Director Rathbones Investment Management LTD","crd":"3106283"},{"name":"Sarah Gentleman","title":"Non Executive Director Rathbones Investment Management LTD","crd":"5213910"},{"name":"Dharmash Mistry","title":"Non Executive Director Rathbones Investment Management LTD","crd":"6032437"}],"ownership":[{"label":"Rathbones Group PLC","detail":"Shareholder in the 75% or more ownership band and a control person, since September 1988."},{"label":"Investec PLC","detail":"Indirect owner: a shareholder of Rathbones Group PLC in the 25% to 50% band, since September 2023.","parent":"Rathbones Group PLC"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":18,"privateResidences":0},"listedOfficeAddresses":1,"officesByState":[],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"441512366666","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)","Commissions"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services","Publication of periodicals or newsletters","Educational seminars/workshops"],"financialPlanningClients":"3500","assetMix":[{"label":"Exchange-traded equity securities","percent":31},{"label":"Sovereign bonds","percent":10},{"label":"Investment grade corporate bonds","percent":2},{"label":"Non-investment grade corporate bonds","percent":1},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":52},{"label":"Cash and cash equivalents","percent":3}],"privateFunds":0},"sources":{"adv1FilingDate":"14 July 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/124925/PDF/124925.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Rathbones Investment Management Limited have?","answer":"Rathbones Investment Management Limited has 150,885 clients and manages $135.1 billion for them, as of July 2026. They include 95,035 other individuals, 23,772 pension and profit-sharing plans and 20,366 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 14 July 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Rathbones Investment Management Limited offer?","answer":"Rathbones Investment Management Limited provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, publishing newsletters and educational seminars.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Rathbones Investment Management Limited use?","answer":"Rathbones Investment Management Limited’s separately managed account assets are held at Rathbone Nominees Limited (Liverpool), with $47,491,890,298, Allfunds Bank Sau London Branch (London), with $45,316,478,069 and Bank of New York Mellon (London), with $35,322,247,081. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 14 July 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Rathbones Investment Management Limited have?","answer":"Rathbones Investment Management Limited has 0 investment adviser representatives registered with state securities authorities, out of 1,715 employees, and 725 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Rathbones Investment Management Limited invest in?","answer":"At the end of its last fiscal year, Rathbones Investment Management Limited’s separately managed accounts held 52% pooled vehicles (private funds and similar), 31% exchange-traded equities, 10% sovereign bonds, 3% cash and equivalents, 2% investment grade corporate bonds and 1% high-yield corporate bonds. It advises no private funds of its own.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Rathbones Investment Management Limited?","answer":"Rathbones Investment Management Limited is owned through a holding company by Investec PLC. Its direct owner is Rathbones Group PLC (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 14 July 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Rathbones Investment Management Limited get paid?","answer":"Rathbones Investment Management Limited is paid through a percentage of assets under management, fixed fees and commissions. Its Form ADV lists no performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}