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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

MELLON INVESTMENTS (UK) LIMITED

CRD 169469

LONDON

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Search this name across graphsid dfx:ria:3358cf2c-144f-9220-1e5b-17cdd29c3938

Data as of Mar 29, 2019 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:01 AM UTC and rebuilt at most every 15 minutes.

Relationships: 36
Dated events: 2
On other graphs: 0
Observed: Nov 26, 2013 to Mar 29, 2019
11 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: $232MItem 5.F on the latest filing (2019-03-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $232M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 9
Advisory employees: 4
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1
SEC number: 801-78888
CRD: 169469
Filings on the tape: 11
First filed: Nov 26, 2013
Latest filed: Mar 29, 2019
Organised: Other (specify)

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
BNY MELLON INTERNATIONAL ASSET MANAGEMENT GROUP LIMITED	Shareholder	E	yes	07/2010	Sep 16, 2016	Mar 29, 2019
BNY MELLON INVESTMENT MANAGEMENT (EUROPE) LIMITED	Shareholder	E	yes	11/2012	Nov 26, 2013	Mar 29, 2019
BNY MELLON INVESTMENT MANAGEMENT (JERSEY) LIMITED	Shareholder	E	yes	11/2012	Nov 26, 2013	Mar 29, 2019
BNY MELLON INVESTMENT MANAGEMENT EUROPE HOLDINGS LIMITED	Shareholder	E	yes	11/2012	Nov 26, 2013	Mar 29, 2019
LUBRAN, JONATHAN, FRANK	Director	Na	yes	05/2014	Mar 31, 2015	Mar 29, 2019
LYN, PATRICK, ST AUBYN	Director	Na	yes	07/2013	Nov 26, 2013	Mar 29, 2019
MBC INVESTMENTS CORPORATION	Shareholder	E	yes	11/2012	Nov 26, 2013	Mar 29, 2019
OVER, ALEXANDER, BRIAN	Director	Na	yes	10/2010	Nov 26, 2013	Mar 29, 2019
SURTEES, SIMON, MATTHEW	Director	Na	yes	06/2017	Mar 29, 2018	Mar 29, 2019
THE BANK OF NEW YORK MELLON CORPORATION	Owner	E	yes	07/2007	Sep 16, 2016	Mar 29, 2019

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page; showing 40 of 59

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
MELLON INVESTMENTS CORPORATION	n/a	Asset manager	$874B	N	yes	n/a
THE DREYFUS CORPORATION	n/a	Asset manager	$419B	N	yes	n/a
INSIGHT NORTH AMERICA LLC	n/a	Other adviser	$171B	N	yes	n/a
WALTER SCOTT & PARTNERS LIMITED	n/a	Other adviser	$67B	N	yes	n/a
NEWTON INVESTMENT MANAGEMENT (NORTH AMERICA) LTD	n/a	Asset manager	$42B	N	yes	n/a
LOCKWOOD ADVISORS INC	n/a	Bank affiliated wealth	$33B	N	yes	n/a
BNY MELLON ASSET MANAGEMENT JAPAN LIMITED	n/a	Former SEC adviser	$32B	N	yes	n/a
ALCENTRA LIMITED	n/a	Asset manager	$23B	N	yes	n/a
ALCENTRA NY, LLC	n/a	Asset manager	$14B	N	yes	n/a
BNY MELLON INVESTMENT MANAGEMENT CAYMAN LTD	n/a	Former SEC adviser	$10B	N	yes	n/a
MBSC SECURITIES CORPORATION	n/a	Other adviser	$8.4B	N	yes	n/a
INSIGHT INVESTMENT INTERNATIONAL LIMITED	n/a	Former SEC adviser	$3.0B	N	yes	n/a
ARX INVESTIMENTOS LTDA	n/a	Former SEC adviser	$1.9B	N	yes	n/a
EACM ADVISORS LLC	n/a	Former SEC adviser	$617M	N	yes	n/a
MELLON HEDGE ADVISORS, LLC	n/a	Former SEC adviser	$0	N	yes	n/a
BNY MELLON ALOCACAO DE PATRIMONIO LTDA	n/a	n/a	n/a	N	yes	n/a
BNY MELLON ASSET MANAGEMENT CANADA LIMITED	n/a	n/a	n/a	N	yes	n/a
BNY MELLON BANCO S.A.	n/a	n/a	n/a	N	yes	n/a
BNY MELLON CAPITAL MARKETS EMEA LIMITED	n/a	n/a	n/a	N	yes	n/a
BNY MELLON CAPITAL MARKETS, LLC	n/a	n/a	n/a	N	yes	n/a
BNY MELLON FUND MANAGEMENT (LUXEMBOURG) S.A.	n/a	n/a	n/a	N	yes	n/a
BNY MELLON FUND MANAGERS LIMITED	n/a	n/a	n/a	N	yes	n/a
BNY MELLON GLOBAL MANAGEMENT LIMITED	n/a	n/a	n/a	N	yes	n/a
BNY MELLON IM KOREA LIMITED	n/a	n/a	n/a	N	yes	n/a
BNY MELLON INTERNATIONAL MANAGMENT LIMITED	n/a	n/a	n/a	N	yes	n/a
BNY MELLON INVESTMENT MANAGEMENT EMEA LIMITED	n/a	n/a	n/a	N	yes	n/a
BNY MELLON INVESTMENT MANAGEMENT HONG KONG LIMITED	n/a	n/a	n/a	N	yes	n/a
BNY MELLON INVESTMENT MANAGEMENT SINGAPORE PTE. LIMITED	n/a	n/a	n/a	N	yes	n/a
BNY MELLON INVESTMENT MANAGMENT AUSTRALIA LIMITED	n/a	n/a	n/a	N	yes	n/a
BNY MELLON NATIONAL ASSOCIATION	n/a	n/a	n/a	N	yes	n/a
BNY MELLON SERVICOS FINANCEIROS DISTIBUIDORA DE TITULOS E VALORES MOBILIARIOS (DTVM) S.A.	n/a	n/a	n/a	N	yes	n/a
BNY MELLON TRUST COMPANY (IRELAND) LIMITED	n/a	n/a	n/a	N	yes	n/a
BNY MELLON TRUST COMPANY OF ILLINOIS	n/a	n/a	n/a	N	yes	n/a
BNY MELLON TRUST OF DELAWARE	n/a	n/a	n/a	N	yes	n/a
BNY MELLON WEALTH MANAGEMENT, ADVISORY SERVICES, INC.	n/a	n/a	n/a	N	yes	n/a
CIBC MELLON GLOBAL SECURITIES SERVICES COMPANY	n/a	n/a	n/a	N	yes	n/a
CIBC MELLON TRUST COMPANY	n/a	n/a	n/a	N	yes	n/a
HEDGEMARK SECURITIES LLC	n/a	n/a	n/a	N	yes	n/a
INSIGHT INVESTMENT AUSTRALIA PTY LIMITED	n/a	n/a	n/a	N	yes	n/a
INSIGHT INVESTMENT FUNDS MANAGEMENT LIMITED	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

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018	Mar 29, 2019	$232M	$232M	9	4	0	n/a	n/a
2017	Mar 29, 2018	$300M	$300M	9	4	0	n/a	n/a
2016	Mar 31, 2017	$145M	$145M	6	5	n/a	n/a	n/a
2015	Mar 30, 2016	$127M	$127M	6	4	n/a	n/a	n/a
2014	Mar 31, 2015	$309M	$309M	7	5	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
2018	$232M	$300M	-22.8%	$127M	22.1%	9	9	0	0

Relationships

Affiliated with (26)

← EACM ADVISORS LLCRegistered adviserother investment adviser, common control
factForm ADV
→ BNY MELLON INVESTMENT ADVISER, INC.Registered adviserother investment adviser, bank, common control
factForm ADV
→ MELLON INVESTMENTS CORPORATIONRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ BNY MELLON ADVISORS, INC.Registered adviserother investment adviser, common control
factForm ADV
→ INSIGHT INVESTMENTRegistered adviserother investment adviser, bank, common control
factForm ADV
→ NEWTON INVESTMENT MANAGEMENT LTDRegistered adviserother investment adviser, bank, common control
factForm ADV
→ WALTER SCOTT & PARTNERS LIMITEDRegistered adviserother investment adviser, common control
factForm ADV
→ BSP NY LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ EACM ADVISORS LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ MELLON HEDGE ADVISORSRegistered adviserother investment adviser, bank, common control
factForm ADV
→ INSIGHT INVESTMENTRegistered adviserother investment adviser, bank, common control
factForm ADV
→ ARX INVESTIMENTOS LTDARegistered adviserother investment adviser, bank, common control
factForm ADV
→ BENEFIT STREET PARTNERS LIMITEDRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ BNY MELLON INVESTMENT MANAGEMENT JAPAN LIMITEDRegistered adviserother investment adviser, common control
factForm ADV
→ BNY MELLON INVESTMENT MANAGEMENT CAYMAN LTDRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ BNY MELLON SECURITIES CORPORATIONRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
← THE BOSTON COMPANY ASSET MANAGEMENT LLCRegistered adviserother investment adviser, common control
factForm ADV
← STANDISHRegistered adviserother investment adviser, common control
factForm ADV
← HEDGEMARK ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV
← CENTERSQUARE INVESTMENT MANAGEMENT HOLDINGS, INC.Registered adviserother investment adviser, common control
factForm ADV
← CENTERSQUARE INVESTMENT MANAGEMENT, INC.Registered adviserother investment adviser, common control
factForm ADV
← BNY MELLON INVESTMENT MANAGEMENT HONG KONG LIMITEDRegistered adviserother investment adviser, common control
factForm ADV
← BNY MELLON INVESTMENT MANAGEMENT SINGAPORE PTE. LIMITEDRegistered adviserother investment adviser, common control
factForm ADV
← ARX INVESTIMENTOS LTDARegistered adviserother investment adviser, common control
factForm ADV
← STANDISH SINGAPORERegistered adviserother investment adviser, common control
factForm ADV
← TIBER CAPITAL MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (9)

← LYN, PATRICK, ST AUBYNOwnerDIRECTOR, ownership code NA, individual
Nov 26, 2013 to presentfactForm ADV
← SURTEES, SIMON, MATTHEWOwnerDIRECTOR, ownership code NA, individual
Mar 29, 2018 to presentfactForm ADV
← OVER, ALEXANDER, BRIANOwnerDIRECTOR, ownership code NA, individual
Nov 26, 2013 to presentfactForm ADV
← LUBRAN, JONATHAN, FRANKOwnerDIRECTOR, ownership code NA, individual
Mar 31, 2015 to presentfactForm ADV
← BNY MELLON INTERNATIONAL ASSET MANAGEMENT GROUP LIMITEDOwnerSHAREHOLDER, ownership code E, foreign entity
Sep 16, 2016 to presentfactForm ADV
← BNY MELLON INVESTMENT MANAGEMENT (EUROPE) LIMITEDOwnerSHAREHOLDER, ownership code E, foreign entity
Nov 26, 2013 to presentfactForm ADV
← BNY MELLON INVESTMENT MANAGEMENT EUROPE HOLDINGS LIMITEDOwnerSHAREHOLDER, ownership code E, foreign entity
Nov 26, 2013 to presentfactForm ADV
← MBC INVESTMENTS CORPORATIONOwnerSHAREHOLDER, ownership code E, domestic entity
Nov 26, 2013 to presentfactForm ADV
← THE BANK OF NEW YORK MELLON CORPORATIONOwnerOWNER, ownership code E, domestic entity
Sep 16, 2016 to presentfactForm ADV

Dated events

Occurred
Mar 29, 2018
Regulatory AUM changed
Mellon Investments (Uk) Limited reported RAUM $300.3M, up 108% from $144.6M (2017-07-06 to 2018-03-29)
Form ADVobserved 6 days ago
$156M
Occurred
Nov 26, 2013
First Form ADV filing
Standish Mellon Asset Management (Uk) Limited filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3358cf2c-144f-9220-1e5b-17cdd29c3938
First observed: Nov 26, 2013
Last observed: Mar 29, 2019 91 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.

MELLON INVESTMENTS (UK) LIMITED

CRD 169469

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:3358cf2c-144f-9220-1e5b-17cdd29c3938

Data as of Mar 29, 2019 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:01 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BNY MELLON INTERNATIONAL ASSET MANAGEMENT GROUP LIMITED

Shareholder

yes

07/2010

Sep 16, 2016

Mar 29, 2019

BNY MELLON INVESTMENT MANAGEMENT (EUROPE) LIMITED

Shareholder

yes

11/2012

Nov 26, 2013

Mar 29, 2019

BNY MELLON INVESTMENT MANAGEMENT (JERSEY) LIMITED

Shareholder

yes

11/2012

Nov 26, 2013

Mar 29, 2019

BNY MELLON INVESTMENT MANAGEMENT EUROPE HOLDINGS LIMITED

Shareholder

yes

11/2012

Nov 26, 2013

Mar 29, 2019

LUBRAN, JONATHAN, FRANK

Director

yes

05/2014

Mar 31, 2015

Mar 29, 2019

LYN, PATRICK, ST AUBYN

Director

yes

07/2013

Nov 26, 2013

Mar 29, 2019

MBC INVESTMENTS CORPORATION

Shareholder

yes

11/2012

Nov 26, 2013

Mar 29, 2019

OVER, ALEXANDER, BRIAN

Director

yes

10/2010

Nov 26, 2013

Mar 29, 2019

SURTEES, SIMON, MATTHEW

Director

yes

06/2017

Mar 29, 2018

Mar 29, 2019

THE BANK OF NEW YORK MELLON CORPORATION

Owner

yes

07/2007

Sep 16, 2016

Mar 29, 2019

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

MELLON INVESTMENTS CORPORATION

n/a

Asset manager

$874B

yes

n/a

THE DREYFUS CORPORATION

n/a

Asset manager

$419B

yes

n/a

INSIGHT NORTH AMERICA LLC

n/a

Other adviser

$171B

yes

n/a

WALTER SCOTT & PARTNERS LIMITED

n/a

Other adviser

$67B

yes

n/a

NEWTON INVESTMENT MANAGEMENT (NORTH AMERICA) LTD

n/a

Asset manager

$42B

yes

n/a

LOCKWOOD ADVISORS INC

n/a

Bank affiliated wealth

$33B

yes

n/a

BNY MELLON ASSET MANAGEMENT JAPAN LIMITED

n/a

Former SEC adviser

$32B

yes

n/a

ALCENTRA LIMITED

n/a

Asset manager

$23B

yes

n/a

ALCENTRA NY, LLC

n/a

Asset manager

$14B

yes

n/a

BNY MELLON INVESTMENT MANAGEMENT CAYMAN LTD

n/a

Former SEC adviser

$10B

yes

n/a

MBSC SECURITIES CORPORATION

n/a

Other adviser

$8.4B

yes

n/a

INSIGHT INVESTMENT INTERNATIONAL LIMITED

n/a

Former SEC adviser

$3.0B

yes

n/a

ARX INVESTIMENTOS LTDA

n/a

Former SEC adviser

$1.9B

yes

n/a

EACM ADVISORS LLC

n/a

Former SEC adviser

$617M

yes

n/a

MELLON HEDGE ADVISORS, LLC

n/a

Former SEC adviser

yes

n/a

BNY MELLON ALOCACAO DE PATRIMONIO LTDA

n/a

yes

n/a

BNY MELLON ASSET MANAGEMENT CANADA LIMITED

n/a

yes

n/a

BNY MELLON BANCO S.A.

n/a

yes

n/a

BNY MELLON CAPITAL MARKETS EMEA LIMITED

n/a

yes

n/a

BNY MELLON CAPITAL MARKETS, LLC

n/a

yes

n/a

BNY MELLON FUND MANAGEMENT (LUXEMBOURG) S.A.

n/a

yes

n/a

BNY MELLON FUND MANAGERS LIMITED

n/a

yes

n/a

BNY MELLON GLOBAL MANAGEMENT LIMITED

n/a

yes

n/a

BNY MELLON IM KOREA LIMITED

n/a

yes

n/a

BNY MELLON INTERNATIONAL MANAGMENT LIMITED

n/a

yes

n/a

BNY MELLON INVESTMENT MANAGEMENT EMEA LIMITED

n/a

yes

n/a

BNY MELLON INVESTMENT MANAGEMENT HONG KONG LIMITED

n/a

yes

n/a

BNY MELLON INVESTMENT MANAGEMENT SINGAPORE PTE. LIMITED

n/a

yes

n/a

BNY MELLON INVESTMENT MANAGMENT AUSTRALIA LIMITED

n/a

yes

n/a

BNY MELLON NATIONAL ASSOCIATION

n/a

yes

n/a

BNY MELLON SERVICOS FINANCEIROS DISTIBUIDORA DE TITULOS E VALORES MOBILIARIOS (DTVM) S.A.

n/a

yes

n/a

BNY MELLON TRUST COMPANY (IRELAND) LIMITED

n/a

yes

n/a

BNY MELLON TRUST COMPANY OF ILLINOIS

n/a

yes

n/a

BNY MELLON TRUST OF DELAWARE

n/a

yes

n/a

BNY MELLON WEALTH MANAGEMENT, ADVISORY SERVICES, INC.

n/a

yes

n/a

CIBC MELLON GLOBAL SECURITIES SERVICES COMPANY

n/a

yes

n/a

CIBC MELLON TRUST COMPANY

n/a

yes

n/a

HEDGEMARK SECURITIES LLC

n/a

yes

n/a

INSIGHT INVESTMENT AUSTRALIA PTY LIMITED

n/a

yes

n/a

INSIGHT INVESTMENT FUNDS MANAGEMENT LIMITED

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Mar 29, 2019

$232M

n/a

2017

Mar 29, 2018

$300M

n/a

2016

Mar 31, 2017

$145M

n/a

2015

Mar 30, 2016

$127M

n/a

2014

Mar 31, 2015

$309M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2018

$232M

$300M

-22.8%

$127M

22.1%