{"url":"https://nivawealth.com/firms/stonehage-fleming-investment-management-limited-313913","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/313913","regulatoryAum":23839017005,"crd":"313913","secFileNumber":"801-122831","legalName":"Stonehage Fleming Investment Management Limited","displayName":"Stonehage Fleming Investment Management Limited","website":"https://www.stonehagefleming.com","linkedinUrl":"https://www.linkedin.com/company/stonehagefleming","founded":null,"organization":"corporation organized in United Kingdom","fiscalYearEnd":"March","headquarters":{"street":"6 ST James'S Square","city":"London, Greater London","state":"","stateName":"","country":"United Kingdom","postalCode":"SW1Y 4JU"},"tradeNames":[],"registration":{"secApproved":"8 December 2021","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":110,"advisory":52,"brokerDealerReps":0,"insuranceAgents":0,"promoters":10},"aum":{"discretionary":17151004188,"discretionaryAccounts":593,"nonDiscretionary":6688012817,"nonDiscretionaryAccounts":132,"wrapProgram":null,"nonUsClientsPct":98,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":243,"regulatoryAum":77149865},{"label":"High-net-worth individuals","clients":291,"regulatoryAum":12515608267},{"label":"Investment companies","clients":97,"regulatoryAum":6695980670},{"label":"Charitable organizations","clients":13,"regulatoryAum":2133776356},{"label":"Corporations and other businesses","clients":20,"regulatoryAum":649113074},{"label":"Other","clients":61,"regulatoryAum":1767388773}],"fees":[],"feeNotes":[],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"Multrees Investor Services Limited","shortName":"Multrees Investor Services Limited","location":"London","smaAssets":8083742220},{"name":"Stonehage Fleming Dealing & Treasury Services (jersey) Limited","shortName":"Stonehage Fleming Dealing & Treasury Services (jersey) Limited","location":"ST. Helier","smaAssets":5251257715},{"name":"UBS Europe Se","shortName":"UBS Europe Se","location":"London","smaAssets":2598326350}],"custodyNote":"Stonehage Fleming Investment Management Limited does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Graham Wainer","title":"Investment Management Chief Executive Officer","crd":"5152782"},{"name":"Lucy Tilley","title":"Chief Financial Officer","crd":"8121171"},{"name":"Katie Mundell","title":"Chief Compliance Officer","crd":"7441920"},{"name":"Michael Berman","title":"Head of Client Management","crd":"7441897"},{"name":"Sally Ferne","title":"Chief Operations Officer","crd":"8303245"},{"name":"Catherine Kenny","title":"Head of Internal Audit","crd":"8303250"},{"name":"Eva Sheppard","title":"Senior Relationship Manager","crd":"7948744"},{"name":"Gerrit Smit","title":"Head of Global Equity Management","crd":"4395659"},{"name":"John Veale","title":"Deputy Head of Investments","crd":"7948741"}],"ownership":[{"label":"Stonehage Fleming (uk) Limited","detail":"Sole shareholder in the 75% or more ownership band and a control person, since July 2000."},{"label":"Stonehage Fleming Financial Services Holdings Limited","detail":"Indirect owner: a sole shareholder of Stonehage Fleming (uk) Limited in the 75% or more band and a control person, since June 2015.","parent":"Stonehage Fleming (uk) Limited"},{"label":"Stonehage Fleming Family & Partners Limited","detail":"Indirect owner: a sole shareholder of Stonehage Fleming Financial Services Holdings Limited in the 75% or more band and a control person, since January 2015.","parent":"Stonehage Fleming Financial Services Holdings Limited"},{"label":"Corient International Aquisitionco Limited (uk)","detail":"Indirect owner: a shareholder of Stonehage Fleming Family & Partners Limited in the 75% or more band and a control person, since June 2026.","parent":"Stonehage Fleming Family & Partners Limited"},{"label":"Corient International Holdings Limited (uk)","detail":"Indirect owner: a shareholder of Corient International Aquisitionco Limited (uk) in the 75% or more band and a control person, since January 2026.","parent":"Corient International Aquisitionco Limited (uk)"},{"label":"Corient Global Holdco Limited (uk)","detail":"Indirect owner: a shareholder of Corient International Holdings Limited (uk) in the 75% or more band and a control person, since January 2026.","parent":"Corient International Holdings Limited (uk)"},{"label":"MC Accelerate Aggregator, 1 LLC (us)","detail":"Indirect owner: a shareholder of Corient Global Holdco Limited (uk) in the 75% or more band and a control person, since October 2025.","parent":"Corient Global Holdco Limited (uk)"},{"label":"MC Cif Wealth Management (uk) Limited","detail":"Indirect owner: member of MC Accelerate Aggregator, 1 LLC (us) and a control person, since August 2025. Also a shareholder of Ci Financial Holdings LTD (uk) in the 75% or more band and a control person, since February 2025.","parent":"MC Accelerate Aggregator, 1 LLC (us)"},{"label":"MC Accelerate Holdings LP (uk)","detail":"Indirect owner: a shareholder of MC Cif Wealth Management (uk) Limited in the 75% or more band and a control person, since August 2025.","parent":"MC Cif Wealth Management (uk) Limited"},{"label":"MC Accelerate Co-Invest GP, LLC (cay)","detail":"Indirect owner: general partner of MC Accelerate Holdings LP (uk) and a control person, since October 2025. Also general partner of MC Accelerate Co-Invest GP, LLC (cay) and a control person, since September 2025.","parent":"MC Accelerate Holdings LP (uk)"},{"label":"MC Manager Holdco Cif (uk) LTD","detail":"Indirect owner: a shareholder of MC Cif Wealth Management Holdings (uk) LTD in the 75% or more band and a control person, since May 2025.","parent":"MC Cif Wealth Management Holdings (uk) LTD"},{"label":"Mubadala Capital LP (uk)","detail":"Indirect owner: a shareholder of MC Manager Holdco Cif (uk) LTD in the 75% or more band and a control person, since May 2025.","parent":"MC Manager Holdco Cif (uk) LTD"},{"label":"Mubadala Capital GP LLC (cay)","detail":"Indirect owner: general partner of Mubadala Capital LP (uk) and a control person, since December 2204.","parent":"Mubadala Capital LP (uk)"},{"label":"Mubadala Capital LLC (uae)","detail":"Indirect owner: a shareholder of MDC Capital Management LLC in the 75% or more band and a control person, since July 2021.","parent":"MDC Capital Management LLC"},{"label":"Mamoura Diversified Global Holding PJSC (uae)","detail":"Indirect owner: a shareholder of Mubadala Capital LLC (uae) in the 75% or more band and a control person, since July 2019.","parent":"Mubadala Capital LLC (uae)"},{"label":"Mubadala Investment Company PJSC (uae)","detail":"Indirect owner: a shareholder of Mamoura Diversified Global Holding PJSC (uae) in the 75% or more band and a control person, since January 2017.","parent":"Mamoura Diversified Global Holding PJSC (uae)"},{"label":"Government of the Emirate of Abu Dhabi","detail":"Indirect owner: a shareholder of Mubadala Investment Company PJSC (uae) in the 75% or more band and a control person, since January 2017.","parent":"Mubadala Investment Company PJSC (uae)"},{"label":"MDC Capital Management LLC","detail":"Indirect owner: a shareholder of Mubadala Capital LP (uk) in the 75% or more band and a control person, since December 2024.","parent":"Mubadala Capital LP (uk)"},{"label":"MC Cif Wealth Management Holdings (uk) LTD","detail":"Indirect owner: a shareholder of MC Accelerate Co-Invest LP (uk) in the 75% or more band and a control person, since July 2025.","parent":"MC Accelerate Co-Invest LP (uk)"},{"label":"MC Accelerate Co-Invest LP (uk)","detail":"Indirect owner: a shareholder of MC Accelerate Holdings LP (uk) in the 75% or more band and a control person, since July 2025.","parent":"MC Accelerate Holdings LP (uk)"},{"label":"Ci Financial Holdings LTD (uk)","detail":"Indirect owner: a member of MC Accelerate Aggregator, 1 LLC (us) in the 75% or more band and a control person, since August 2025.","parent":"MC Accelerate Aggregator, 1 LLC (us)"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"officesByState":[],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"442070870000","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Performance-based fees"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients","Selection of other advisers (including private fund managers)"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":11},{"label":"U.S. government/agency bonds","percent":2},{"label":"Sovereign bonds","percent":9},{"label":"Investment grade corporate bonds","percent":1},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":61},{"label":"Cash and cash equivalents","percent":5},{"label":"Other","percent":11,"detail":"Physical Gold, Investment Trusts, Reits"}],"privateFunds":0},"sources":{"adv1FilingDate":"29 June 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/313913/PDF/313913.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Stonehage Fleming Investment Management Limited have?","answer":"Stonehage Fleming Investment Management Limited has 725 clients and manages $23.8 billion for them, as of June 2026. They include 291 high-net-worth individuals, 243 other individuals and 97 investment companies.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 29 June 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Stonehage Fleming Investment Management Limited offer?","answer":"Stonehage Fleming Investment Management Limited provides portfolio management for individuals and small businesses, portfolio management for pooled vehicles, portfolio management for institutions and selecting other managers.","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 Stonehage Fleming Investment Management Limited use?","answer":"Stonehage Fleming Investment Management Limited’s separately managed account assets are held at Multrees Investor Services Limited (London), with $8,083,742,220, Stonehage Fleming Dealing & Treasury Services (jersey) Limited (ST. Helier), with $5,251,257,715 and UBS Europe Se (London), with $2,598,326,350. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 29 June 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Stonehage Fleming Investment Management Limited have?","answer":"Stonehage Fleming Investment Management Limited has 0 investment adviser representatives registered with state securities authorities, out of 110 employees, and 52 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 Stonehage Fleming Investment Management Limited invest in?","answer":"At the end of its last fiscal year, Stonehage Fleming Investment Management Limited’s separately managed accounts held 61% pooled vehicles (private funds and similar), 11% exchange-traded equities, 11% physical gold, investment trusts, reits, 9% sovereign bonds, 5% cash and equivalents, 2% U.S. government and agency bonds and 1% investment grade 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 Stonehage Fleming Investment Management Limited?","answer":"Stonehage Fleming Investment Management Limited is owned through a chain of holding companies by Government of the Emirate of Abu Dhabi and Ci Financial Holdings LTD (uk). Its direct owner is Stonehage Fleming (uk) Limited (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 29 June 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Stonehage Fleming Investment Management Limited get paid?","answer":"Stonehage Fleming Investment Management Limited is paid through a percentage of assets under management and performance-based fees. Its Form ADV lists no commissions 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."}