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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

NEWSMITH ASSET MANAGEMENT LLP

CRD 133670

LONDON

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Search this name across graphsid dfx:ria:7e2f51e9-2b92-b154-aec6-801a4cb8ba44

Data as of Jul 1, 2014 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 22
Dated events: 0
On other graphs: 1
Observed: Dec 13, 2011 to Jul 1, 2014
7 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

NS Asset Management LLP

Private equity manager · shared crd

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: $2.3BItem 5.F on the latest filing (2014-07-01); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $2.3B
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: 33
Advisory employees: 13
Accounts: 7
Private funds: 3Schedule D 7.B(1)
Private fund GAV: $125Mgross asset value as reported per fund; never fund size
Custody, client assets: $1.6B
SEC number: 801-63814
CRD: 133670
Filings on the tape: 7
First filed: Dec 13, 2011
Latest filed: Jul 1, 2014
Organised: Limited Liability Partnership

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
NEWSMITH UK HEDGE MASTER FUND LIMITED	Hedge Fund	$181M	Jun 27, 2013	25	Mar 2, 2012	reported	021-115476
NEWSMITH JAPAN NEW HORIZONS MASTER FUND	Hedge Fund	$128M	Nov 8, 2012	20	Mar 2, 2012	dropped	021-115475
NS EUROPEAN MASTER FUND	Hedge Fund	$0	Jun 22, 2015	0	Mar 2, 2012	reported	021-115479
NEWSMITH INVESTMENT FUNDS PLC-NEWSMITH GLOBAL ABSOLUTE RETURN FUND	Other Private Fund	$0	Jun 22, 2015	0	Mar 2, 2012	reported	021-158938
NEWSMITH OPPORTUNITIES PRIVATE EQUITY FUND LP	Private Equity Fund	$0	May 30, 2017	0	Mar 2, 2012	reported	021-158770

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
CARLSON, RONALD, JOSEPH	Coo	Na	yes	07/2003	Dec 13, 2011	Jul 1, 2014
CARLSON, RONALD, JOSEPH	Member	F	yes	11/2011	Dec 13, 2011	Jul 1, 2014
HISHIDA, YOSHIO	Member	F	yes	02/2012	Mar 2, 2012	Jul 1, 2014
KITANO, YUKIHIRO	Member	F	yes	02/2012	Mar 2, 2012	Jul 1, 2014
MARKS, MICHAEL, JOHN PAUL	Chairman	F	yes	02/2012	Dec 13, 2011	Jul 1, 2014
MARKS, MICHAEL, JOHN PAUL	BOARD MEMBER	Na	yes	01/2010	Dec 13, 2011	Jul 1, 2014
MIYAZAKI, JUN	Member	F	yes	02/2012	Mar 2, 2012	Jul 1, 2014
NEWSMITH LLP	PARENT UNDERTAKING	E	yes	02/2012	Mar 2, 2012	Jul 1, 2014
ROBERTS, SIMON	Member	F	yes	02/2012	Mar 2, 2012	Jul 1, 2014
ROY, PAUL, D	Chairman	Na	yes	01/2010	Dec 13, 2011	Jul 1, 2014
ROY, PAUL, D	Member	F	yes	11/2011	Dec 13, 2011	Jul 1, 2014
STB AM INVESTMENT (UK) LIMITED	Shareholder	C	yes	02/2012	Jun 29, 2012	Jul 1, 2014
SUMITOMO MITSUI TRUST HOLDINGS, INC.	Shareholder	E	yes	04/2011	Jun 29, 2012	Jul 1, 2014
THE SUMITOMO TRUST AND BANKING CO., LTD.	Shareholder	E	yes	02/2012	Jun 29, 2012	Jul 1, 2014
UEDA, ATSUSHI	Member	F	yes	02/2013	Jun 27, 2013	Jul 1, 2014
ZIMMERMAN, STEPHEN	Member	F	yes	02/2012	Dec 13, 2011	Jul 1, 2014
SANSOM, RICHARD	Cfo	Na	no	08/2006	Dec 13, 2011	Jul 1, 2014

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
NEWSMITH JAPAN 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
2014	Jul 1, 2014	$2.3B	$2.3B	33	13	n/a	3	$125M
2013	Jun 27, 2013	$2.2B	$2.2B	39	14	n/a	4	$306M
2012	Jun 29, 2012	$2.3B	$2.3B	n/a	n/a	n/a	5	$533M

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
2014	$2.3B	$2.2B	5.7%	n/a	n/a	33	39	n/a	n/a

Relationships

Advises (5)

→ NEWSMITH OPPORTUNITIES PRIVATE EQUITY FUND LPPrivate fundPrivate Equity Fund, ERA
Mar 2, 2012 to presentfactForm ADV
→ NS EUROPEAN MASTER FUNDPrivate fundHedge Fund, ERA
Mar 2, 2012 to presentfactForm ADV
→ NEWSMITH INVESTMENT FUNDS PLC-NEWSMITH GLOBAL ABSOLUTE RETURN FUNDPrivate fundOther Private Fund, ERA
Mar 2, 2012 to presentfactForm ADV
→ NEWSMITH UK HEDGE MASTER FUND LIMITEDPrivate fundHedge Fund, IA
Mar 2, 2012 to presentfactForm ADV
→ NEWSMITH JAPAN NEW HORIZONS MASTER FUNDPrivate fundHedge Fund, IA, no longer reported
Mar 2, 2012 to Nov 8, 2012factForm ADV

Controls (13)

← MARKS, MICHAEL, JOHN PAULOwnerCHAIRMAN, ownership code F, individual
Dec 13, 2011 to presentfactForm ADV
← ROY, PAUL, DOwnerMEMBER, ownership code F, individual
Dec 13, 2011 to presentfactForm ADV
← ZIMMERMAN, STEPHENOwnerMEMBER, ownership code F, individual
Dec 13, 2011 to presentfactForm ADV
← ROBERTS, SIMONOwnerMEMBER, ownership code F, individual
Mar 2, 2012 to presentfactForm ADV
← MIYAZAKI, JUNOwnerMEMBER, ownership code F, individual
Mar 2, 2012 to presentfactForm ADV
← KITANO, YUKIHIROOwnerMEMBER, ownership code F, individual
Mar 2, 2012 to presentfactForm ADV
← HISHIDA, YOSHIOOwnerMEMBER, ownership code F, individual
Mar 2, 2012 to presentfactForm ADV
← UEDA, ATSUSHIOwnerMEMBER, ownership code F, individual
Jun 27, 2013 to presentfactForm ADV
← CARLSON, RONALD, JOSEPHOwnerMEMBER, ownership code F, individual
Dec 13, 2011 to presentfactForm ADV
← NEWSMITH LLPOwnerPARENT UNDERTAKING, ownership code E, foreign entity
Mar 2, 2012 to presentfactForm ADV
← STB AM INVESTMENT (UK) LIMITEDOwnerSHAREHOLDER, ownership code C, foreign entity
Jun 29, 2012 to presentfactForm ADV
← SUMITOMO MITSUI TRUST HOLDINGS, INC.OwnerSHAREHOLDER, ownership code E, foreign entity
Jun 29, 2012 to presentfactForm ADV
← THE SUMITOMO TRUST AND BANKING CO., LTD.OwnerSHAREHOLDER, ownership code E, foreign entity
Jun 29, 2012 to presentfactForm ADV

Owns (1)

← SANSOM, RICHARDOwnerCFO, ownership code NA, individual
Dec 13, 2011 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7e2f51e9-2b92-b154-aec6-801a4cb8ba44
First observed: Dec 13, 2011
Last observed: Jul 1, 2014 148 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.

NEWSMITH ASSET MANAGEMENT LLP

CRD 133670

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:7e2f51e9-2b92-b154-aec6-801a4cb8ba44

Data as of Jul 1, 2014 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:49 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

NEWSMITH UK HEDGE MASTER FUND LIMITED

Hedge Fund

$181M

Jun 27, 2013

Mar 2, 2012

reported

021-115476

NEWSMITH JAPAN NEW HORIZONS MASTER FUND

Hedge Fund

$128M

Nov 8, 2012

Mar 2, 2012

dropped

021-115475

NS EUROPEAN MASTER FUND

Hedge Fund

Jun 22, 2015

Mar 2, 2012

reported

021-115479

NEWSMITH INVESTMENT FUNDS PLC-NEWSMITH GLOBAL ABSOLUTE RETURN FUND

Other Private Fund

Jun 22, 2015

Mar 2, 2012

reported

021-158938

NEWSMITH OPPORTUNITIES PRIVATE EQUITY FUND LP

Private Equity Fund

May 30, 2017

Mar 2, 2012

reported

021-158770

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CARLSON, RONALD, JOSEPH

Coo

yes

07/2003

Dec 13, 2011

Jul 1, 2014

CARLSON, RONALD, JOSEPH

Member

yes

11/2011

Dec 13, 2011

Jul 1, 2014

HISHIDA, YOSHIO

Member

yes

02/2012

Mar 2, 2012

Jul 1, 2014

KITANO, YUKIHIRO

Member

yes

02/2012

Mar 2, 2012

Jul 1, 2014

MARKS, MICHAEL, JOHN PAUL

Chairman

yes

02/2012

Dec 13, 2011

Jul 1, 2014

MARKS, MICHAEL, JOHN PAUL

BOARD MEMBER

yes

01/2010

Dec 13, 2011

Jul 1, 2014

MIYAZAKI, JUN

Member

yes

02/2012

Mar 2, 2012

Jul 1, 2014

NEWSMITH LLP

PARENT UNDERTAKING

yes

02/2012

Mar 2, 2012

Jul 1, 2014

ROBERTS, SIMON

Member

yes

02/2012

Mar 2, 2012

Jul 1, 2014

ROY, PAUL, D

Chairman

yes

01/2010

Dec 13, 2011

Jul 1, 2014

ROY, PAUL, D

Member

yes

11/2011

Dec 13, 2011

Jul 1, 2014

STB AM INVESTMENT (UK) LIMITED

Shareholder

yes

02/2012

Jun 29, 2012

Jul 1, 2014

SUMITOMO MITSUI TRUST HOLDINGS, INC.

Shareholder

yes

04/2011

Jun 29, 2012

Jul 1, 2014

THE SUMITOMO TRUST AND BANKING CO., LTD.

Shareholder

yes

02/2012

Jun 29, 2012

Jul 1, 2014

UEDA, ATSUSHI

Member

yes

02/2013

Jun 27, 2013

Jul 1, 2014

ZIMMERMAN, STEPHEN

Member

yes

02/2012

Dec 13, 2011

Jul 1, 2014

SANSOM, RICHARD

Cfo

08/2006

Dec 13, 2011

Jul 1, 2014

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

NEWSMITH JAPAN LIMITED

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2014

Jul 1, 2014

$2.3B

n/a

$125M

2013

Jun 27, 2013

$2.2B

n/a

$306M

2012

Jun 29, 2012

$2.3B

n/a

$533M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2014

$2.3B

$2.2B

5.7%

n/a