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

SCHRODERS NEWFINANCE CAPITAL LLP

CRD 136438

LONDON

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Search this name across graphsid dfx:ria:ce6ff289-0a77-ce6a-c62f-5f18a1ccfa3d

Data as of Mar 31, 2014 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:04 AM UTC and rebuilt at most every 15 minutes.

Relationships: 19
Dated events: 0
On other graphs: 0
Observed: Nov 23, 2011 to Mar 31, 2014
9 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: $3.1BItem 5.F on the latest filing (2014-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $3.1B
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: 17
Advisory employees: 6
Accounts: 13
Private funds: 3Schedule D 7.B(1)
Private fund GAV: $1.2Bgross asset value as reported per fund; never fund size
SEC number: 801-70756
CRD: 136438
Filings on the tape: 9
First filed: Nov 23, 2011
Latest filed: Mar 31, 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
OPUS COMMODITIES FUND LIMITED	Hedge Fund	$789M	Mar 31, 2014	20	Mar 29, 2012	reported	n/a
OPUS COMMODITIES CORE PLUS A FUND LIMITED	Hedge Fund	$227M	Mar 31, 2014	4	Mar 29, 2012	reported	n/a
OPUS FIXED INCOME FUND LIMITED	Hedge Fund	$198M	Feb 12, 2013	125	Mar 29, 2012	dropped	n/a
OPUS TRADING MASTER SPC	Hedge Fund	$188M	Mar 31, 2014	1	Mar 29, 2012	reported	n/a

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
MOONEY, DAVID, J	CHIEF INVESTMENT OFFICER	Na	yes	09/2011	Nov 23, 2011	Mar 31, 2014
NEW FINANCE CAPITAL PARTNERS LIMITED	DIRECT OWNER / GENERAL PARTNER	E	yes	06/2004	Nov 23, 2011	Mar 31, 2014
NEW FINANCE HOLDINGS LIMITED	Shareholder	E	yes	08/2000	Nov 23, 2011	Mar 31, 2014
O'CONNOR, MILES	CHIEF EXECUTIVE OFFICER	Na	yes	09/2011	Nov 23, 2011	Mar 31, 2014
SCHRODER ADMINISTRATION LIMITED	Shareholder	E	yes	05/2006	Nov 23, 2011	Mar 31, 2014
SCHRODER HOLDINGS (BERMUDA) LIMITED	Shareholder	E	yes	05/2003	Nov 23, 2011	Mar 31, 2014
SCHRODER INTERNATIONAL HOLDINGS (BERMUDA) LIMITED	Shareholder	E	yes	05/2006	Nov 23, 2011	Mar 31, 2014
SCHRODER INTERNATIONAL HOLDINGS LIMITED	Shareholder	E	yes	05/2003	Nov 23, 2011	Mar 31, 2014
SCHRODERS (BERMUDA) LTD	Shareholder	E	yes	06/2003	Nov 23, 2011	Mar 31, 2014
SCHRODERS PLC	Shareholder	E	yes	05/2006	Nov 23, 2011	Mar 31, 2014
WHITE, STEPHEN, GEORGE	CHIEF OPERATING OFFICER	Na	yes	07/2013	Sep 12, 2013	Mar 31, 2014
WOOLLISCROFT, PHILIP, JAMES PETER	CHIEF COMPLIANCE OFFICER	Na	yes	06/2011	Nov 23, 2011	Mar 31, 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
SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC	n/a	Asset manager	$150B	N	yes	n/a
SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA LTD	n/a	Asset manager	$83B	N	yes	n/a
STW FIXED INCOME MANAGEMENT LLC	n/a	Former SEC adviser	$12B	N	yes	n/a
SCHRODER FUND ADVISORS LLC	n/a	n/a	n/a	N	yes	n/a
SCHRODER INVESTMENT MANAGEMENT AUSTRALIA LTD.	n/a	n/a	n/a	N	yes	n/a
SCHRODER INVESTMENT MANAGEMENT HONG KONG LTD.	n/a	n/a	n/a	N	yes	n/a
SCHRODER INVESTMENT MANAGEMENT JAPAN LTD	n/a	n/a	n/a	N	yes	n/a
SCHRODER INVESTMENT MANAGEMENT LTD.	n/a	n/a	n/a	N	yes	n/a
STW FIXED INTEREST MANAGEMENT LTD	n/a	n/a	n/a	N	yes	n/a
STW INTERNATIONAL LTD.	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	n/a	no

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
2013	Mar 31, 2014	$3.1B	$3.1B	17	6	n/a	3	$1.2B
2012	Mar 15, 2013	$3.9B	$3.9B	25	10	n/a	3	$1.9B
2011	Mar 29, 2012	$4.5B	$4.5B	n/a	n/a	n/a	4	$2.1B

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
2013	$3.1B	$3.9B	-19.2%	n/a	n/a	17	25	n/a	n/a

Relationships

Affiliated with (3)

→ SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA LTDRegistered adviserother investment adviser, bank, common control
factForm ADV
→ STW FIXED INCOME MANAGEMENT LLCRegistered adviserother investment adviser, common control
factForm ADV

Advises (4)

→ OPUS COMMODITIES CORE PLUS A FUND LIMITEDPrivate fundHedge Fund, IA
Mar 29, 2012 to presentfactForm ADV
→ OPUS TRADING MASTER SPCPrivate fundHedge Fund, IA
Mar 29, 2012 to presentfactForm ADV
→ OPUS COMMODITIES FUND LIMITEDPrivate fundHedge Fund, IA
Mar 29, 2012 to presentfactForm ADV
→ OPUS FIXED INCOME FUND LIMITEDPrivate fundHedge Fund, IA, no longer reported
Mar 29, 2012 to Feb 12, 2013factForm ADV

Controls (10)

← MOONEY, DAVID, JOwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Nov 23, 2011 to presentfactForm ADV
← WOOLLISCROFT, PHILIP, JAMES PETEROwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Nov 23, 2011 to presentfactForm ADV
← O'CONNOR, MILESOwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Nov 23, 2011 to presentfactForm ADV
← WHITE, STEPHEN, GEORGEOwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Sep 12, 2013 to presentfactForm ADV
← NEW FINANCE CAPITAL PARTNERS LIMITEDOwnerDIRECT OWNER / GENERAL PARTNER, ownership code E, foreign entity
Nov 23, 2011 to presentfactForm ADV
← NEW FINANCE HOLDINGS LIMITEDOwnerSHAREHOLDER, ownership code E, foreign entity
Nov 23, 2011 to presentfactForm ADV
← SCHRODER ADMINISTRATION LIMITEDOwnerSHAREHOLDER, ownership code E, foreign entity
Nov 23, 2011 to presentfactForm ADV
← SCHRODER HOLDINGS (BERMUDA) LIMITEDOwnerSHAREHOLDER, ownership code E, foreign entity
Nov 23, 2011 to presentfactForm ADV
← SCHRODER INTERNATIONAL HOLDINGS (BERMUDA) LIMITEDOwnerSHAREHOLDER, ownership code E, foreign entity
Nov 23, 2011 to presentfactForm ADV
← SCHRODERS (BERMUDA) LTDOwnerSHAREHOLDER, ownership code E, foreign entity
Nov 23, 2011 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ce6ff289-0a77-ce6a-c62f-5f18a1ccfa3d
First observed: Nov 23, 2011
Last observed: Mar 31, 2014 151 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.

SCHRODERS NEWFINANCE CAPITAL LLP

CRD 136438

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:ce6ff289-0a77-ce6a-c62f-5f18a1ccfa3d

Data as of Mar 31, 2014 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:04 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

OPUS COMMODITIES FUND LIMITED

Hedge Fund

$789M

Mar 31, 2014

Mar 29, 2012

reported

n/a

OPUS COMMODITIES CORE PLUS A FUND LIMITED

Hedge Fund

$227M

Mar 31, 2014

Mar 29, 2012

reported

n/a

OPUS FIXED INCOME FUND LIMITED

Hedge Fund

$198M

Feb 12, 2013

125

Mar 29, 2012

dropped

n/a

OPUS TRADING MASTER SPC

Hedge Fund

$188M

Mar 31, 2014

Mar 29, 2012

reported

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

MOONEY, DAVID, J

CHIEF INVESTMENT OFFICER

yes

09/2011

Nov 23, 2011

Mar 31, 2014

NEW FINANCE CAPITAL PARTNERS LIMITED

DIRECT OWNER / GENERAL PARTNER

yes

06/2004

Nov 23, 2011

Mar 31, 2014

NEW FINANCE HOLDINGS LIMITED

Shareholder

yes

08/2000

Nov 23, 2011

Mar 31, 2014

O'CONNOR, MILES

CHIEF EXECUTIVE OFFICER

yes

09/2011

Nov 23, 2011

Mar 31, 2014

SCHRODER ADMINISTRATION LIMITED

Shareholder

yes

05/2006

Nov 23, 2011

Mar 31, 2014

SCHRODER HOLDINGS (BERMUDA) LIMITED

Shareholder

yes

05/2003

Nov 23, 2011

Mar 31, 2014

SCHRODER INTERNATIONAL HOLDINGS (BERMUDA) LIMITED

Shareholder

yes

05/2006

Nov 23, 2011

Mar 31, 2014

SCHRODER INTERNATIONAL HOLDINGS LIMITED

Shareholder

yes

05/2003

Nov 23, 2011

Mar 31, 2014

SCHRODERS (BERMUDA) LTD

Shareholder

yes

06/2003

Nov 23, 2011

Mar 31, 2014

SCHRODERS PLC

Shareholder

yes

05/2006

Nov 23, 2011

Mar 31, 2014

WHITE, STEPHEN, GEORGE

CHIEF OPERATING OFFICER

yes

07/2013

Sep 12, 2013

Mar 31, 2014

WOOLLISCROFT, PHILIP, JAMES PETER

CHIEF COMPLIANCE OFFICER

yes

06/2011

Nov 23, 2011

Mar 31, 2014

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC

n/a

Asset manager

$150B

yes

n/a

SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA LTD

n/a

Asset manager

$83B

yes

n/a

STW FIXED INCOME MANAGEMENT LLC

n/a

Former SEC adviser

$12B

yes

n/a

SCHRODER FUND ADVISORS LLC

n/a

yes

n/a

SCHRODER INVESTMENT MANAGEMENT AUSTRALIA LTD.

n/a

yes

n/a

SCHRODER INVESTMENT MANAGEMENT HONG KONG LTD.

n/a

yes

n/a

SCHRODER INVESTMENT MANAGEMENT JAPAN LTD

n/a

yes

n/a

SCHRODER INVESTMENT MANAGEMENT LTD.

n/a

yes

n/a

STW FIXED INTEREST MANAGEMENT LTD

n/a

yes

n/a

STW INTERNATIONAL LTD.

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

NEW YORK

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2013

Mar 31, 2014

$3.1B

n/a

$1.2B

2012

Mar 15, 2013

$3.9B

n/a

$1.9B

2011

Mar 29, 2012

$4.5B

n/a

$2.1B

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2013

$3.1B

$3.9B

-19.2%

n/a