Rothschild Wealth Management (Uk) Ltd. (London)


Rothschild Wealth Management (Uk) Ltd. is a large advisory firm based in London. It manages $10.52 billion of regulatory assets for 1,746 client accounts. It has been registered with the SEC as an adviser since 2012.

Rothschild Wealth Management (Uk) provides portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Rothschild Wealth Management (Uk): assets under management

The assets under management (AUM) of Rothschild Wealth Management (Uk) Ltd. is $10.52 billion. The firm's AUM has grown by 100% since the beginning of its operation, and $10.51 billion of the total AUM is attributable to clients outside of the United States.

The firm manages $9.71 billion in discretionary accounts and $811.51 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $6.42 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $3.5 million.

Investments

The firm invests in pooled investment vehicles the most. They account for 41% of the total AUM. The second-largest asset type is exchange traded securities, which make up 40% of the firm’s portfolio. Investments in cash and cash equivalents form 11% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Rothschild Wealth Management (Uk) Ltd. for their services and products based on a percentage of assets under management and commissions. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Alexander Arnold Macphee serves?

The firm provides services to charitable organizations and high net worth individuals. The largest group of clients of Alexander Arnold Macphee is high net worth individuals with 1,655 clients and $9.04 billion of assets under management. Among the 11 most similar advisory firms, Rothschild Wealth Management (Uk) has the highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $10.52 billion for 1,746 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 99% of the firm’s clients are foreign persons or businesses.

Rothschild Wealth Management (Uk) also advises several private funds. Namely, one other private fund. The minimum investment commitment required of non-related persons is $1,000,000 for each fund.

Careers at Rothschild Wealth Management (Uk) Ltd.

The company employs 96 people that are either part- or full-time employees. 42 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Alexander Arnold Macphee has been acting as President since 1 Jan 2009. Anna Frances Grace O'shaughnessy joined the executive team most recently as the Head Of Compliance.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Rothschild Holdings Ag Parent of applicant 1 Dec 2002 75% - 100% foreign
Rothschild Continuation Holdings Ag Direct shareholder of rothschild wealth management (uk) ltd 1 Dec 2004 25% - 50% foreign
Rothschild Holding Ag Direct shareholder of rothschild wealth management (uk) ltd 1 Dec 2004 50% - 75% foreign
Gary Alan Powell Chief executive officer 1 Aug 2007 Other 5975099
Alexander Arnold Macphee Director 1 Jan 2009 Other 2947741
Hugo Capel Cure Head of investment management 1 Mar 2012 Other 6035624
Mary Francine Barrett Chief compliance officer 1 Mar 2012 Other 6045853
Mark Robert Kary Director 1 May 2012 Other 6076791
Gareth Edward Morgan Johnson Director 1 Jul 2012 Other 6470150
John Alexander Dodds Chief compliance officer 1 Jan 2013 Other 6150322
Gary Alan Powell Non executive director 1 Jan 2013 Other 5975099
Helen Janet Watson Director 1 Sep 2015 Other 6585590
Jonathan Westcott Non executive director 1 Aug 2016 Other 6398706
Christopher Lewis Coleman Director 1 Aug 2016 Other 6621821
Anna Frances Grace O'shaughnessy Head of compliance 1 Jun 2017 Other 6824263

Indirect Owners

The SEC currently registers 10 indirect owners.

Name Entity Date acquired Ownership Employer ID
Rothschild Concordia Ag Shareholder 1 Apr 1990 50% - 75% foreign
Rothschilds Continuation Holdings Ag Shareholder 1 Dec 1995 50% - 75% foreign
Rothschild Continuation Holdings Ag Shareholder 1 Dec 1995 50% - 75% foreign
Concordia Holding Sarl Shareholder 1 Jul 2003 75% - 100% foreign
Paris Orleans Holding Bancaire Shareholder 1 Jan 2008 75% - 100% foreign
Paris Orleans Sca Shareholder 1 Jan 2008 75% - 100% foreign
Rothschild Concordia Sas Shareholder 1 Jan 2008 Other foreign
Rothschild & Co Sca Shareholder 1 Jan 2008 75% - 100% foreign
Paris Orleans Shareholder 1 Jan 2008 75% - 100% foreign
Paris Orleans Holding Bancaire Shareholder 1 Jun 2012 25% - 50% foreign

Based in London

The principal office where Rothschild Wealth Management (Uk) Ltd. performs its advisory services is located at New Court, London, Ec4 N 8 Al, which is also the mailing address of the firm. The firm also has an office outside of the United States.

You can reach the main office by calling the phone number +44 20 7280 5000 or by fax +44 20 7280 1514. The normal business hours are 9.00am - 5.00pm on Monday - Friday. You can find more information about the New York firm at rothschild.com.