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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 10b 100b

W1M INVESTMENT MANAGEMENT LIMITED

CRD 112200

LONDON

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:0fa4fbfe-db6c-1ec5-b243-543d1a64a73c

Data as of Jul 21, 2025 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 29
Dated events: 16
On other graphs: 0
Observed: Mar 30, 2012 to Jul 21, 2025
27 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $17BItem 5.F on the latest filing (2025-07-21); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $16B
Private client RAUM: $1.2BderivedItem 5.D individuals plus high net worth individuals
Private client share: 7%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 184
Advisory employees: 50
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 4,078
Individual clients: 0
High net worth clients: 2,092
SEC number: 801-60447
CIK: 1344114
CRD: 112200
Filings on the tape: 27
First filed: Mar 30, 2012
Latest filed: Jul 21, 2025
Organised: Corporation

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
ALLEN, MICHAEL, DAVID	CHIEF OPERATING OFFICER	Na	yes	07/2019	Jul 23, 2019	Jul 31, 2024
CHHOKER, ANANTH STEVEN, SINGH	CHIEF FINANCIAL OFFICER	Na	yes	09/2023	Jul 31, 2024	Jul 31, 2024
CRABB, DOMINIC, TIMOTHY EDWARD	EXECUTIVE DIRECTOR	Na	yes	07/2024	Jul 31, 2024	Jul 31, 2024
Dovey, Sebastian, Simon	NON-EXECUTIVE DIRECTOR	Na	yes	01/2021	Oct 21, 2021	Jul 31, 2024
FUND V UGP LLC	SOLE SHAREHOLDER	E	yes	01/2018	Jul 31, 2024	Jul 31, 2024
LM EQUITY ADVISORS V LP	GENERAL PARTNER	F	yes	12/2022	Jul 31, 2024	Jul 31, 2024
LM EQUITY ADVISORS V LP	GENERAL PARTNER	F	yes	12/2022	Jul 31, 2024	Jul 31, 2024
LM EQUITY ADVISORS V LP	GENERAL PARTNER	F	yes	12/2022	Jul 31, 2024	Jul 31, 2024
LM EQUITY PARTNERS V LP	Shareholder	D	yes	05/2022	Jul 31, 2024	Jul 31, 2024
LM EQUITY PARTNERS V-A LP	Shareholder	E	yes	12/2022	Jul 31, 2024	Jul 31, 2024
LM SABRINA HOLDINGS LP	SOLE SHAREHOLDER	E	yes	01/2023	Jul 31, 2024	Jul 31, 2024
LM SABRINA INVESTMENT HOLDINGS INC	Shareholder	C	yes	12/2022	Jul 31, 2024	Jul 31, 2024
LOVELL MINNICK HOLDINGS LLC	SOLE SHAREHOLDER	E	yes	01/2018	Jul 31, 2024	Jul 31, 2024
LOVELL MINNICK PARTNERS LLC	SOLE SHAREHOLDER	E	yes	01/2018	Jul 31, 2024	Jul 31, 2024
MCGLASHAN, GUY, ANDREW	CHIEF EXECUTIVE OFFICER	Na	yes	07/2024	Jul 31, 2024	Jul 31, 2024
MORGAN, DAVID	NON-EXECUTIVE DIRECTOR	Na	yes	08/2013	Mar 31, 2015	Jul 31, 2024
MURPHY, STEPHEN THOMAS, MATTHEW	NON-EXECUTIVE DIRECTOR	Na	yes	07/2024	Jul 31, 2024	Jul 31, 2024
Napier, Alexandra, Winifred Louise	NON-EXECUTIVE DIRECTOR	Na	yes	12/2022	Mar 3, 2023	Jul 31, 2024
Rosier, Frederick, David Stewart	Chairman	Na	yes	08/2017	Dec 20, 2017	Jul 31, 2024
SABRINA BIDCO LIMITED	SOLE SHAREHOLDER	E	yes	06/2024	Jul 31, 2024	Jul 31, 2024
SABRINA HOLDCO LIMITED	Shareholder	D	yes	01/2023	Jul 31, 2024	Jul 31, 2024
SABRINA MIDCO LIMITED	SOLE SHAREHOLDER	E	yes	05/2022	Jul 31, 2024	Jul 31, 2024
SABRINA TOPCO	SOLE SHAREHOLDER	E	yes	05/2022	Jul 31, 2024	Jul 31, 2024
SHAH, HARISH	CHIEF COMPLIANCE OFFICER	Na	yes	09/2010	Mar 28, 2013	Jul 31, 2024
WAVERTON INVESTMENT MANAGEMENT GROUP LIMITED	Shareholder	E	yes	04/2016	Dec 22, 2020	Jul 31, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
LONDON AND CAPITAL WEALTH ADVISERS LTD	n/a	Mixed wealth	$25B	N	yes	n/a
LOVELL MINNICK PARTNERS LLC	n/a	Asset manager	$5.2B	Y	yes	n/a
LONDON AND CAPITAL ASSET MANAGEMENT LTD.	n/a	n/a	n/a	N	yes	n/a
LONDON AND CAPITAL WEALTH MANAGEMENT EUROPE A.V. SOCIEDAD ANONIMA	n/a	n/a	n/a	N	yes	n/a
WAVERTON WEALTH LLP	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 14 of 15

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024	Mar 26, 2025	$17B	$16B	184	50	0	n/a	n/a
2023	Feb 29, 2024	$14B	$13B	163	51	0	n/a	n/a
2022	Mar 3, 2023	$11B	$10B	170	44	0	n/a	n/a
2021	Mar 23, 2022	$12B	$11B	159	44	0	n/a	n/a
2020	Mar 29, 2021	$9.4B	$8.2B	156	43	0	n/a	n/a
2019	Dec 20, 2019	$7.7B	$6.7B	153	41	0	n/a	n/a
2018	Dec 13, 2018	$7.7B	$6.9B	145	34	0	n/a	n/a
2017	Dec 20, 2017	$7.0B	$6.2B	121	36	0	n/a	n/a
2016	Dec 23, 2016	$6.6B	$5.8B	117	35	n/a	n/a	n/a
2015	Jan 4, 2016	$6.5B	$5.7B	117	35	n/a	n/a	n/a
2014	Mar 31, 2015	$8.5B	$7.7B	117	35	n/a	n/a	n/a
2013	Mar 31, 2014	$8.1B	$7.4B	107	27	n/a	n/a	n/a
2012	Mar 28, 2013	$6.4B	$5.9B	110	29	n/a	n/a	n/a
2011	Mar 30, 2012	$5.6B	$5.2B	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$17B	$14B	23.2%	$12B	13.6%	184	163	0	0

Relationships

Affiliated with (4)

← W1M WEALTH MANAGEMENT LIMITEDRegistered adviserother investment adviser, common control
factForm ADV
→ W1M WEALTH MANAGEMENT LIMITEDRegistered adviserother investment adviser, LP sponsor, common control
factForm ADV
→ LOVELL MINNICKRegistered adviserother investment adviser, control, common control
factForm ADV
← CREDIT SUISSE PRIVATE ADVISORSRegistered adviserother investment adviser, common control
factForm ADV

Controls (23)

← ALLEN, MICHAEL, DAVIDOwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Jul 23, 2019 to Jul 31, 2024factForm ADV
← SHAH, HARISHOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 28, 2013 to Jul 31, 2024factForm ADV
← MORGAN, DAVIDOwnerNON-EXECUTIVE DIRECTOR, ownership code NA, individual
Mar 31, 2015 to Jul 31, 2024factForm ADV
← MCGLASHAN, GUY, ANDREWOwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Jul 31, 2024 to Jul 31, 2024factForm ADV
← Rosier, Frederick, David StewartOwnerCHAIRMAN, ownership code NA, individual
Dec 20, 2017 to Jul 31, 2024factForm ADV
← CRABB, DOMINIC, TIMOTHY EDWARDOwnerEXECUTIVE DIRECTOR, ownership code NA, individual
Jul 31, 2024 to Jul 31, 2024factForm ADV
← MURPHY, STEPHEN THOMAS, MATTHEWOwnerNON-EXECUTIVE DIRECTOR, ownership code NA, individual
Jul 31, 2024 to Jul 31, 2024factForm ADV
← Dovey, Sebastian, SimonOwnerNON-EXECUTIVE DIRECTOR, ownership code NA, individual
Oct 21, 2021 to Jul 31, 2024factForm ADV
← Napier, Alexandra, Winifred LouiseOwnerNON-EXECUTIVE DIRECTOR, ownership code NA, individual
Mar 3, 2023 to Jul 31, 2024factForm ADV
← CHHOKER, ANANTH STEVEN, SINGHOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Jul 31, 2024 to Jul 31, 2024factForm ADV
← FUND V UGP LLCOwnerSOLE SHAREHOLDER, ownership code E, foreign entity
Jul 31, 2024 to Jul 31, 2024factForm ADV
← LM EQUITY ADVISORS V LPOwnerGENERAL PARTNER, ownership code F, foreign entity
Jul 31, 2024 to Jul 31, 2024factForm ADV
← LM EQUITY PARTNERS V LPOwnerSHAREHOLDER, ownership code D, foreign entity
Jul 31, 2024 to Jul 31, 2024factForm ADV
← LM EQUITY PARTNERS V-A LPOwnerSHAREHOLDER, ownership code E, foreign entity
Jul 31, 2024 to Jul 31, 2024factForm ADV
← LM SABRINA HOLDINGS LPOwnerSOLE SHAREHOLDER, ownership code E, foreign entity
Jul 31, 2024 to Jul 31, 2024factForm ADV
← LM SABRINA INVESTMENT HOLDINGS INCOwnerSHAREHOLDER, ownership code C, foreign entity
Jul 31, 2024 to Jul 31, 2024factForm ADV
← LOVELL MINNICK HOLDINGS LLCOwnerSOLE SHAREHOLDER, ownership code E, foreign entity
Jul 31, 2024 to Jul 31, 2024factForm ADV
← LOVELL MINNICK PARTNERS LLCOwnerSOLE SHAREHOLDER, ownership code E, foreign entity
Jul 31, 2024 to Jul 31, 2024factForm ADV
← SABRINA BIDCO LIMITEDOwnerSOLE SHAREHOLDER, ownership code E, foreign entity
Jul 31, 2024 to Jul 31, 2024factForm ADV
← SABRINA HOLDCO LIMITEDOwnerSHAREHOLDER, ownership code D, foreign entity
Jul 31, 2024 to Jul 31, 2024factForm ADV
← SABRINA MIDCO LIMITEDOwnerSOLE SHAREHOLDER, ownership code E, foreign entity
Jul 31, 2024 to Jul 31, 2024factForm ADV
← SABRINA TOPCOOwnerSOLE SHAREHOLDER, ownership code E, foreign entity
Jul 31, 2024 to Jul 31, 2024factForm ADV
← WAVERTON INVESTMENT MANAGEMENT GROUP LIMITEDOwnerSHAREHOLDER, ownership code E, foreign entity
Dec 22, 2020 to Jul 31, 2024factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Jul 31, 2024
Control person left
David Welch (Chief Financial Officer) no longer on Schedule A of W1M Investment Management Limited (listed 2024-02-29, absent 2024-07-31)
Form ADVobserved 4 days ago
Occurred
Jul 31, 2024
Control person left
Duncan Saville (Owner) no longer on Schedule A of W1M Investment Management Limited (listed 2024-02-29, absent 2024-07-31)
Form ADVobserved 4 days ago
Occurred
Jul 31, 2024
Control person left
Alan Algernon Percy (Director) no longer on Schedule A of W1M Investment Management Limited (listed 2024-02-29, absent 2024-07-31)
Form ADVobserved 4 days ago
Occurred
Jul 31, 2024
Control person left
Charles Jillings (Non-Executive Director) no longer on Schedule A of W1M Investment Management Limited (listed 2024-02-29, absent 2024-07-31)
Form ADVobserved 4 days ago
Occurred
Jul 31, 2024
Control person left
Nicholas Geoffrey Tucker (Chief Executive Officer) no longer on Schedule A of W1M Investment Management Limited (listed 2024-02-29, absent 2024-07-31)
Form ADVobserved 4 days ago
Occurred
Jul 31, 2024
Control person joined
Andrew Guy Mcglashan (Chief Executive Officer) appeared on Schedule A of W1M Investment Management Limited
Form ADVobserved 4 days ago
Occurred
Jul 31, 2024
Control person joined
Timothy Edward Dominic Crabb (Executive Director) appeared on Schedule A of W1M Investment Management Limited
Form ADVobserved 4 days ago
Occurred
Jul 31, 2024
Control person joined
Matthew Stephen Thomas Murphy (Non-Executive Director) appeared on Schedule A of W1M Investment Management Limited
Form ADVobserved 4 days ago
Occurred
Jul 31, 2024
Control person joined
Singh Ananth Steven Chhoker (Chief Financial Officer) appeared on Schedule A of W1M Investment Management Limited
Form ADVobserved 4 days ago
Occurred
Feb 29, 2024
Regulatory AUM changed
W1M Investment Management Limited reported RAUM $13.9B, up 26% from $11.0B (2023-03-03 to 2024-02-29)
Form ADVobserved 4 days ago
$2.9B
Occurred
Mar 3, 2023
Control person joined
Winifred Louise Alexandra Napier (Non-Executive Director) appeared on Schedule A of W1M Investment Management Limited
Form ADVobserved 4 days ago
Occurred
Oct 21, 2021
Control person joined
Simon Sebastian Dovey (Non-Executive Director) appeared on Schedule A of W1M Investment Management Limited
Form ADVobserved 4 days ago
Occurred
Dec 22, 2020
Control person joined
Nicholas Geoffrey Tucker (Chief Executive Officer) appeared on Schedule A of W1M Investment Management Limited
Form ADVobserved 4 days ago
Occurred
Jul 23, 2019
Control person left
Neil Rithet Andrew Fleming (Chief Executive Officer) no longer on Schedule A of W1M Investment Management Limited (listed 2018-12-13, absent 2019-07-23)
Form ADVobserved 4 days ago
Occurred
Jul 23, 2019
Control person joined
David Michael Allen (Chief Operating Officer) appeared on Schedule A of W1M Investment Management Limited
Form ADVobserved 4 days ago

Show 1 bookkeeping events

Occurred
Apr 1, 2026
W1M Investment Management Limited no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $17.1B)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0fa4fbfe-db6c-1ec5-b243-543d1a64a73c
First observed: Mar 30, 2012
Last observed: Jul 21, 2025 14 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

W1M INVESTMENT MANAGEMENT LIMITED

CRD 112200

LONDON

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:0fa4fbfe-db6c-1ec5-b243-543d1a64a73c

Data as of Jul 21, 2025 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:13 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ALLEN, MICHAEL, DAVID

CHIEF OPERATING OFFICER

yes

07/2019

Jul 23, 2019

Jul 31, 2024

CHHOKER, ANANTH STEVEN, SINGH

CHIEF FINANCIAL OFFICER

yes

09/2023

Jul 31, 2024

CRABB, DOMINIC, TIMOTHY EDWARD

EXECUTIVE DIRECTOR

yes

07/2024

Jul 31, 2024

Dovey, Sebastian, Simon

NON-EXECUTIVE DIRECTOR

yes

01/2021

Oct 21, 2021

Jul 31, 2024

FUND V UGP LLC

SOLE SHAREHOLDER

yes

01/2018

Jul 31, 2024

LM EQUITY ADVISORS V LP

GENERAL PARTNER

yes

12/2022

Jul 31, 2024

LM EQUITY ADVISORS V LP

GENERAL PARTNER

yes

12/2022

Jul 31, 2024

LM EQUITY ADVISORS V LP

GENERAL PARTNER

yes

12/2022

Jul 31, 2024

LM EQUITY PARTNERS V LP

Shareholder

yes

05/2022

Jul 31, 2024

LM EQUITY PARTNERS V-A LP

Shareholder

yes

12/2022

Jul 31, 2024

LM SABRINA HOLDINGS LP

SOLE SHAREHOLDER

yes

01/2023

Jul 31, 2024

LM SABRINA INVESTMENT HOLDINGS INC

Shareholder

yes

12/2022

Jul 31, 2024

LOVELL MINNICK HOLDINGS LLC

SOLE SHAREHOLDER

yes

01/2018

Jul 31, 2024

LOVELL MINNICK PARTNERS LLC

SOLE SHAREHOLDER

yes

01/2018

Jul 31, 2024

MCGLASHAN, GUY, ANDREW

CHIEF EXECUTIVE OFFICER

yes

07/2024

Jul 31, 2024

MORGAN, DAVID

NON-EXECUTIVE DIRECTOR

yes

08/2013

Mar 31, 2015

Jul 31, 2024

MURPHY, STEPHEN THOMAS, MATTHEW

NON-EXECUTIVE DIRECTOR

yes

07/2024

Jul 31, 2024

Napier, Alexandra, Winifred Louise

NON-EXECUTIVE DIRECTOR

yes

12/2022

Mar 3, 2023

Jul 31, 2024

Rosier, Frederick, David Stewart

Chairman

yes

08/2017

Dec 20, 2017

Jul 31, 2024

SABRINA BIDCO LIMITED

SOLE SHAREHOLDER

yes

06/2024

Jul 31, 2024

SABRINA HOLDCO LIMITED

Shareholder

yes

01/2023

Jul 31, 2024

SABRINA MIDCO LIMITED

SOLE SHAREHOLDER

yes

05/2022

Jul 31, 2024

SABRINA TOPCO

SOLE SHAREHOLDER

yes

05/2022

Jul 31, 2024

SHAH, HARISH

CHIEF COMPLIANCE OFFICER

yes

09/2010

Mar 28, 2013

Jul 31, 2024

WAVERTON INVESTMENT MANAGEMENT GROUP LIMITED

Shareholder

yes

04/2016

Dec 22, 2020

Jul 31, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

LONDON AND CAPITAL WEALTH ADVISERS LTD

n/a

Mixed wealth

$25B

yes

n/a

LOVELL MINNICK PARTNERS LLC

n/a

Asset manager

$5.2B

yes

n/a

LONDON AND CAPITAL ASSET MANAGEMENT LTD.

n/a

yes

n/a

LONDON AND CAPITAL WEALTH MANAGEMENT EUROPE A.V. SOCIEDAD ANONIMA

n/a

yes

n/a

WAVERTON WEALTH LLP

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2024

Mar 26, 2025

$17B

$16B

184

n/a

2023

Feb 29, 2024

$14B

$13B

163

n/a

2022

Mar 3, 2023

$11B

$10B

170

n/a

2021

Mar 23, 2022

$12B

$11B

159

n/a

2020

Mar 29, 2021

$9.4B

$8.2B

156

n/a

2019

Dec 20, 2019

$7.7B

$6.7B

153

n/a

2018

Dec 13, 2018

$7.7B

$6.9B

145

n/a

2017

Dec 20, 2017

$7.0B

$6.2B

121

n/a

2016

Dec 23, 2016

$6.6B

$5.8B

117

n/a

2015

Jan 4, 2016

$6.5B

$5.7B

117

n/a

2014

Mar 31, 2015

$8.5B

$7.7B

117

n/a

2013

Mar 31, 2014

$8.1B

$7.4B

107

n/a

2012

Mar 28, 2013

$6.4B

$5.9B

110

n/a

2011

Mar 30, 2012

$5.6B

$5.2B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2024

$17B

$14B

23.2%

$12B

13.6%

184

163