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

ALPHAGEN CAPITAL LIMITED

CRD 137841

LONDON

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Search this name across graphsid dfx:ria:d45a65cb-0879-3f3e-9163-1c99cbadb959

Data as of Nov 25, 2019 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 57
Dated events: 9
On other graphs: 0
Observed: Mar 30, 2012 to Nov 25, 2019
36 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: $2.1BItem 5.F on the latest filing (2019-11-25); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $2.1B
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: 49
Advisory employees: 36
Offices: 8Schedule D 1.F, beyond the principal office
Accounts: 16
Private funds: 8Schedule D 7.B(1)
Private fund GAV: $1.5Bgross asset value as reported per fund; never fund size
Custody, client assets: $1.2B
SEC number: 801-65237
CRD: 137841
Filings on the tape: 36
First filed: Mar 30, 2012
Latest filed: Nov 25, 2019
Organised: Other (specify)

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31; showing 25 of 38

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
THE ALPHAGEN HOKUTO FUND LIMITED	Hedge Fund	$480M	Feb 18, 2015	21	Mar 30, 2012	dropped	n/a
HENDERSON ASIA PACIFIC ABSOLUTE RETURN FUND LIMITED	Hedge Fund	$387M	Nov 26, 2013	22	Mar 30, 2012	dropped	n/a
THE ALPHAGEN VOLANTIS FUND LIMITED	Hedge Fund	$325M	May 31, 2016	57	Mar 30, 2012	dropped	021-120208
THE ALPHAGEN CASTOR FUND LIMITED	Hedge Fund	$197M	Dec 20, 2017	5	Jul 28, 2017	dropped	n/a
ALPHAGEN LIQUIDITY EVENTS FUND LIMITED	Hedge Fund	$193M	Feb 18, 2015	5	Mar 30, 2012	dropped	n/a
THE ALPHAGEN RIGEL MASTER FUND LIMITED	Hedge Fund	$190M	Jan 30, 2019	8	Mar 31, 2015	reported	n/a
THE ALPHAGEN MULTI-STRATEGY FUND LIMITED	Hedge Fund	$165M	Dec 20, 2017	5	Mar 30, 2016	dropped	n/a
THE ALPHAGEN RHOCAS FUND LIMITED	Hedge Fund	$159M	Jan 2, 2013	29	Mar 30, 2012	dropped	n/a
THE ALPHAGEN RIGEL FUND LIMITED	Hedge Fund	$136M	Dec 20, 2017	6	Feb 18, 2015	dropped	n/a
ALPHAGEN JAPAN SELECT ABSOLUTE RETURN FUND LIMITED	Hedge Fund	$133M	Feb 18, 2015	4	Mar 30, 2012	dropped	n/a
THE ALPHAGEN UK SMALL CAP BEST IDEAS FUND LIMITED	Hedge Fund	$132M	May 31, 2016	27	Mar 30, 2012	dropped	n/a
THE ALPHAGEN VOLANTIS CATALYST FUND LIMITED	Hedge Fund	$130M	May 31, 2016	23	Aug 28, 2013	dropped	n/a
THE ALPHAGEN LIQUIDITY RISK PREMIUM FUND LIMITED	Hedge Fund	$129M	Dec 20, 2017	8	Mar 30, 2016	dropped	n/a
OC 526 OFFSHORE FUND LTD	Hedge Fund	$116M	Nov 25, 2019	15	Mar 28, 2013	reported	021-196145
THE ALPHAGEN RELATIVE VALUE AGRICULTURE FUND LIMITED	Hedge Fund	$105M	Dec 20, 2017	13	Mar 30, 2012	dropped	n/a
THE ALPHAGEN TENRO FUND LIMITED	Hedge Fund	$92.7M	Feb 18, 2015	14	Mar 30, 2012	dropped	n/a
THE ALPHAGEN TUCANA FUND LIMITED	Hedge Fund	$83.3M	Feb 18, 2015	22	Mar 30, 2012	dropped	n/a
HENDERSON ASIA PACIFIC ABSOLUTE RETURN FUND I INC.	Hedge Fund	$58.4M	Nov 26, 2013	3	Mar 30, 2012	dropped	n/a
HENDERSON EUROPEAN ABSOLUTE RETURN FUND LIMITED	Hedge Fund	$57.0M	Aug 28, 2013	34	Mar 30, 2012	dropped	n/a
THE ALPHAGEN ALTAIR MASTER FUND LIMITED	Hedge Fund	$49.0M	Jan 30, 2019	6	Mar 30, 2016	reported	n/a
THE ALPHAGEN ENERGY BEST IDEAS FUND LLC	Hedge Fund	$48.9M	Dec 20, 2017	8	Nov 4, 2015	dropped	n/a
HENDERSON ASIA PACIFIC SELECT ABSOLUTE RETURN FUND LIMITED	Hedge Fund	$47.6M	Aug 28, 2013	29	Mar 30, 2012	dropped	n/a
HENDERSON EUROPEAN SELECT ABSOLUTE RETURN FUND LIMITED	Hedge Fund	$47.6M	Jan 2, 2013	6	Mar 30, 2012	dropped	n/a
THE ALPHAGEN JAPAN SELECT ABSOLUTE RETURN MASTER FUND LIMITED	Hedge Fund	$42.7M	May 31, 2016	1	Mar 30, 2016	dropped	n/a
THE ALPHAGEN JAPAN SELECT ABSOLUTE RETURN FUND LIMITED	Hedge Fund	$42.7M	May 31, 2016	4	Mar 30, 2016	dropped	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
De Sausmarez, Havilland, James	Director	Na	yes	03/2019	Mar 29, 2019	Nov 25, 2019
GREENWOOD, PAUL, BRUCE	Director	Na	yes	03/2019	Mar 29, 2019	Nov 25, 2019
HENDERSON GLOBAL GROUP LIMITED	Shareholder	E	yes	09/2009	Mar 30, 2012	Nov 25, 2019
HENDERSON GLOBAL INVESTORS (HOLDINGS) LIMITED	Owner	E	yes	07/2010	Mar 30, 2012	Nov 25, 2019
HENDERSON GLOBAL INVESTORS (HOLDINGS) LIMITED	Shareholder	E	yes	07/2010	Mar 30, 2012	Nov 25, 2019
HENDERSON GROUP HOLDINGS ASSET MANAGEMENT LIMITED	Shareholder	E	yes	12/2012	Mar 28, 2013	Nov 25, 2019
HENDERSON HOLDINGS GROUP LIMITED	Shareholder	E	yes	09/2009	Mar 30, 2012	Nov 25, 2019
HGI ASSET MANAGMENT GROUP LIMITED	Shareholder	E	yes	12/2012	Mar 28, 2013	Nov 25, 2019
HGI GROUP LIMITED	Shareholder	E	yes	09/2009	Mar 30, 2012	Nov 25, 2019
HO, MICHAEL, CHIMIN	Director	Na	yes	06/2019	Nov 25, 2019	Nov 25, 2019
JANUS HENDERSON GROUP PLC	Shareholder	E	yes	12/2012	Jun 28, 2017	Nov 25, 2019
Chaudhuri, Rhiannon, Willow	Director	Na	no	09/2017	Sep 28, 2017	Nov 25, 2019
FOGGIN, JOHN, GRAHAM	Director	Na	no	10/2016	Mar 31, 2017	Nov 25, 2019
WOLD, SUSAN, KELLY	CHIEF COMPLIANCE OFFICER	Na	no	03/2018	Mar 29, 2018	Nov 25, 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

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
JANUS CAPITAL MANAGEMENT LLC	n/a	Asset manager	$380B	N	yes	n/a
PERKINS INVESTMENT MANAGEMENT LLC	n/a	Former SEC adviser	$8.0B	N	yes	n/a
HENDERSON EQUITY PARTNERS LIMITED	n/a	n/a	n/a	N	yes	n/a
HENDERSON GLOBAL INVESTORS (SINGAPORE) LIMITED	n/a	n/a	n/a	N	yes	n/a
HENDERSON GLOBAL INVESTORS LIMITED	n/a	n/a	n/a	N	yes	n/a
HENDERSON INTERNATIONAL (GP) LLC	n/a	n/a	n/a	N	yes	n/a
HENDERSON INVESTMENT FUNDS LIMITED	n/a	n/a	n/a	N	yes	n/a
HENDERSON MANAGEMENT SA	n/a	n/a	n/a	N	yes	n/a
JANUS CAPITAL INTERNATIONAL LIMITED	n/a	n/a	n/a	N	yes	n/a
JANUS DISTRIBUTORS LLC	n/a	n/a	n/a	N	yes	n/a
JANUS HENDERSON INVESTORS (AUSTRALIA) FUNDS MANAGEMENT LIMITED	n/a	n/a	n/a	N	yes	n/a
JANUS HENDERSON INVESTORS (AUSTRALIA) INSTITUTIONAL FUNDS MANAGEMENT LIMITED	n/a	n/a	n/a	N	yes	n/a
OPTIMUM INVESTMENT MANAGEMENT LIMITED	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
Singapore	n/a	Singapore	3	no
Denver	Co	United States	2	yes
Chicago	IL	United States	2	no
SAN FRANCISCO	CA	United States	1	no
Edinburgh	n/a	United Kingdom	1	no
Melbourne	n/a	Australia	1	no
Sydney	n/a	Australia	1	no
Tokyo	n/a	Japan	1	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
2018	Mar 29, 2019	$2.1B	$2.1B	49	36	8	8	$1.5B
2017	Mar 29, 2018	$3.0B	$3.0B	610	21	5	12	$2.0B
2016	Mar 31, 2017	$2.9B	$2.9B	38	19	n/a	21	$2.0B
2015	Mar 30, 2016	$2.9B	$2.9B	41	30	n/a	28	$2.4B
2014	Mar 31, 2015	$3.2B	$3.2B	101	26	n/a	12	$2.2B
2013	Mar 31, 2014	$3.6B	$3.6B	132	28	n/a	13	$3.9B
2012	Mar 28, 2013	$4.4B	$4.4B	132	102	n/a	17	$2.7B
2011	Mar 30, 2012	$4.9B	$4.9B	n/a	n/a	n/a	18	$3.5B

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	$2.1B	$3.0B	-29.6%	$2.9B	-10.0%	49	610	8	5

Relationships

Affiliated with (5)

→ JANUS HENDERSON INVESTORSRegistered adviserother investment adviser, bank, common control
factForm ADV
→ PERKINS INVESTMENT MANAGEMENT LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
← JANUS HENDERSON INVESTORSRegistered adviserother investment adviser, bank, common control
factForm ADV
← HENDERSON INVESTMENT MANAGEMENT LTD.Registered adviserother investment adviser, bank, common control
factForm ADV
← NORTHERN PINES HENDERSON CAPITAL, LLCRegistered adviserother investment adviser, bank, common control
factForm ADV

Advises (38)

→ OC 526 OFFSHORE FUND LTDPrivate fundHedge Fund, IA
Mar 28, 2013 to presentfactForm ADV
→ THE ALPHAGEN RELATIVE VALUE AGRICULTURE MASTER FUND LIMITEDPrivate fundHedge Fund, IA
Mar 31, 2015 to presentfactForm ADV
→ THE ALPHAGEN DEVELOPING MARKETS BEST IDEAS FUND LLCPrivate fundHedge Fund, IA
Nov 4, 2015 to presentfactForm ADV
→ THE ALPHAGEN LONG SHORT AGRICULTURE MASTER FUND LIMITEDPrivate fundHedge Fund, IA
Mar 30, 2016 to presentfactForm ADV
→ THE ALPHAGEN ALTAIR MASTER FUND LIMITEDPrivate fundHedge Fund, IA
Mar 30, 2016 to presentfactForm ADV
→ THE ALPHAGEN RIGEL MASTER FUND LIMITEDPrivate fundHedge Fund, IA
Mar 31, 2015 to presentfactForm ADV
→ THE ALPHAGEN RELATIVE VALUE AGRICULTURE FUND LIMITEDPrivate fundHedge Fund, IA, no longer reported
Mar 30, 2012 to Dec 20, 2017factForm ADV
→ THE ALPHAGEN RIGEL FUND LIMITEDPrivate fundHedge Fund, IA, no longer reported
Feb 18, 2015 to Dec 20, 2017factForm ADV
→ THE ALPHAGEN ELNATH MASTER FUND LIMITEDPrivate fundHedge Fund, IA, no longer reported
Mar 30, 2016 to Dec 20, 2017factForm ADV
→ THE ALPHAGEN ENERGY BEST IDEAS FUND LLCPrivate fundHedge Fund, IA, no longer reported
Nov 4, 2015 to Dec 20, 2017factForm ADV
→ THE ALPHAGEN ELNATH FUND LIMITEDPrivate fundHedge Fund, IA, no longer reported
Mar 30, 2016 to Dec 20, 2017factForm ADV
→ THE ALPHAGEN LONG SHORT AGRICULTURE FUND LIMITEDPrivate fundHedge Fund, IA, no longer reported
Mar 30, 2016 to Dec 20, 2017factForm ADV
→ THE ALPHAGEN CASTOR FUND LIMITEDPrivate fundHedge Fund, IA, no longer reported
Jul 28, 2017 to Dec 20, 2017factForm ADV
→ THE ALPHAGEN MULTI-STRATEGY FUND LIMITEDPrivate fundHedge Fund, IA, no longer reported
Mar 30, 2016 to Dec 20, 2017factForm ADV
→ THE ALPHAGEN LIQUIDITY RISK PREMIUM FUND LIMITEDPrivate fundHedge Fund, IA, no longer reported
Mar 30, 2016 to Dec 20, 2017factForm ADV
→ THE ALPHAGEN ALTAIR (OFFSHORE) FUND LIMITEDPrivate fundHedge Fund, IA, no longer reported
Mar 30, 2016 to Dec 20, 2017factForm ADV
→ THE ALPHAGEN PERSEUS FUND LIMITEDPrivate fundHedge Fund, IA, no longer reported
Mar 30, 2016 to Jun 28, 2017factForm ADV
→ THE ALPHAGEN VOLANTIS CATALYST FUND LIMITEDPrivate fundHedge Fund, IA, no longer reported
Aug 28, 2013 to May 31, 2016factForm ADV
→ THE ALPHAGEN JAPAN SELECT ABSOLUTE RETURN MASTER FUND LIMITEDPrivate fundHedge Fund, IA, no longer reported
Mar 30, 2016 to May 31, 2016factForm ADV
→ THE ALPHAGEN JAPAN SELECT ABSOLUTE RETURN FUND LIMITEDPrivate fundHedge Fund, IA, no longer reported
Mar 30, 2016 to May 31, 2016factForm ADV
→ THE ALPHAGEN VOLANTIS CATALYST FUND II LIMTEDPrivate fundHedge Fund, IA, no longer reported
May 31, 2016 to May 31, 2016factForm ADV
→ THE ALPHAGEN UK SMALL CAP BEST IDEAS FUND LIMITEDPrivate fundHedge Fund, IA, no longer reported
Mar 30, 2012 to May 31, 2016factForm ADV
→ THE ALPHAGEN VOLANTIS FUND LIMITEDPrivate fundHedge Fund, IA, no longer reported
Mar 30, 2012 to May 31, 2016factForm ADV
→ THE ALPHAGEN TENRO FUND LIMITEDPrivate fundHedge Fund, IA, no longer reported
Mar 30, 2016 to May 31, 2016factForm ADV
→ THE ALPHAGEN JAPAN ABSOLUTE RETURN FUND LIMITEDPrivate fundHedge Fund, IA, no longer reported
Mar 30, 2012 to May 31, 2016factForm ADV
→ ALPHAGEN JAPAN SELECT ABSOLUTE RETURN FUND LIMITEDPrivate fundHedge Fund, IA, no longer reported
Mar 30, 2012 to Feb 18, 2015factForm ADV
→ THE ALPHAGEN LIQUIDITY RISK PREMIUM FUND LIMITEDPrivate fundHedge Fund, IA, no longer reported
Feb 18, 2015 to Feb 18, 2015factForm ADV
→ ALPHAGEN LIQUIDITY EVENTS FUND LIMITEDPrivate fundHedge Fund, IA, no longer reported
Mar 30, 2012 to Feb 18, 2015factForm ADV
→ THE ALPHAGEN HOKUTO FUND LIMITEDPrivate fundHedge Fund, IA, no longer reported
Mar 30, 2012 to Feb 18, 2015factForm ADV
→ THE ALPHAGEN TENRO FUND LIMITEDPrivate fundHedge Fund, IA, no longer reported
Mar 30, 2012 to Feb 18, 2015factForm ADV
and 8 more

Owns (3)

← WOLD, SUSAN, KELLYOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 29, 2018 to presentfactForm ADV
← FOGGIN, JOHN, GRAHAMOwnerDIRECTOR, ownership code NA, individual
Mar 31, 2017 to presentfactForm ADV
← Chaudhuri, Rhiannon, WillowOwnerDIRECTOR, ownership code NA, individual
Sep 28, 2017 to presentfactForm ADV

Controls (10)

← HO, MICHAEL, CHIMINOwnerDIRECTOR, ownership code NA, individual
Nov 25, 2019 to presentfactForm ADV
← GREENWOOD, PAUL, BRUCEOwnerDIRECTOR, ownership code NA, individual
Mar 29, 2019 to presentfactForm ADV
← De Sausmarez, Havilland, JamesOwnerDIRECTOR, ownership code NA, individual
Mar 29, 2019 to presentfactForm ADV
← HENDERSON GLOBAL GROUP LIMITEDOwnerSHAREHOLDER, ownership code E, foreign entity
Mar 30, 2012 to presentfactForm ADV
← HENDERSON GLOBAL INVESTORS (HOLDINGS) LIMITEDOwnerSHAREHOLDER, ownership code E, foreign entity
Mar 30, 2012 to presentfactForm ADV
← HENDERSON GROUP HOLDINGS ASSET MANAGEMENT LIMITEDOwnerSHAREHOLDER, ownership code E, foreign entity
Mar 28, 2013 to presentfactForm ADV
← HENDERSON HOLDINGS GROUP LIMITEDOwnerSHAREHOLDER, ownership code E, foreign entity
Mar 30, 2012 to presentfactForm ADV
← HGI ASSET MANAGMENT GROUP LIMITEDOwnerSHAREHOLDER, ownership code E, foreign entity
Mar 28, 2013 to presentfactForm ADV
← HGI GROUP LIMITEDOwnerSHAREHOLDER, ownership code E, foreign entity
Mar 30, 2012 to presentfactForm ADV
← JANUS HENDERSON GROUP PLCOwnerSHAREHOLDER, ownership code E, foreign entity
Jun 28, 2017 to presentfactForm ADV

Dated events

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

Occurred
Nov 25, 2019
Control person joined
Chimin Michael Ho (Director) appeared on Schedule A of Alphagen Capital Limited
Form ADVobserved 6 days ago
Occurred
Mar 29, 2019
Regulatory AUM changed
Alphagen Capital Limited reported RAUM $2.1B, down 30% from $3.0B (2019-01-30 to 2019-03-29)
Form ADVobserved 6 days ago
$-878M
Occurred
Mar 29, 2019
Control person left
John David Elms (Director) no longer on Schedule A of Alphagen Capital Limited (listed 2019-01-30, absent 2019-03-29)
Form ADVobserved 6 days ago
Occurred
Mar 29, 2019
Control person joined
James Havilland De Sausmarez (Director) appeared on Schedule A of Alphagen Capital Limited
Form ADVobserved 6 days ago
Occurred
Mar 29, 2019
Control person joined
Bruce Paul Greenwood (Director) appeared on Schedule A of Alphagen Capital Limited
Form ADVobserved 6 days ago
Occurred
Jan 30, 2019
Control person left
James Paul Graham (Managing Director) no longer on Schedule A of Alphagen Capital Limited (listed 2018-03-29, absent 2019-01-30)
Form ADVobserved 6 days ago
Occurred
Jan 30, 2019
Control person left
Benjamin Christopher Chaloner (Director) no longer on Schedule A of Alphagen Capital Limited (listed 2018-03-29, absent 2019-01-30)
Form ADVobserved 6 days ago
Occurred
Mar 30, 2012
Succession filed (Item 4)
Henderson Alternative Investment Advisor Limited reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 6 days ago

Show 1 bookkeeping events

Occurred
Mar 29, 2018
Alphagen Capital Limited reported 5 offices beyond its principal office, up from 0 (2017-12-20 to 2018-03-29)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d45a65cb-0879-3f3e-9163-1c99cbadb959
First observed: Mar 30, 2012
Last observed: Nov 25, 2019 83 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.

ALPHAGEN CAPITAL LIMITED

CRD 137841

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:d45a65cb-0879-3f3e-9163-1c99cbadb959

Data as of Nov 25, 2019 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:09 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

THE ALPHAGEN HOKUTO FUND LIMITED

Hedge Fund

$480M

Feb 18, 2015

Mar 30, 2012

dropped

n/a

HENDERSON ASIA PACIFIC ABSOLUTE RETURN FUND LIMITED

Hedge Fund

$387M

Nov 26, 2013

Mar 30, 2012

dropped

n/a

THE ALPHAGEN VOLANTIS FUND LIMITED

Hedge Fund

$325M

May 31, 2016

Mar 30, 2012

dropped

021-120208

THE ALPHAGEN CASTOR FUND LIMITED

Hedge Fund

$197M

Dec 20, 2017

Jul 28, 2017

dropped

n/a

ALPHAGEN LIQUIDITY EVENTS FUND LIMITED

Hedge Fund

$193M

Feb 18, 2015

Mar 30, 2012

dropped

n/a

THE ALPHAGEN RIGEL MASTER FUND LIMITED

Hedge Fund

$190M

Jan 30, 2019

Mar 31, 2015

reported

n/a

THE ALPHAGEN MULTI-STRATEGY FUND LIMITED

Hedge Fund

$165M

Dec 20, 2017

Mar 30, 2016

dropped

n/a

THE ALPHAGEN RHOCAS FUND LIMITED

Hedge Fund

$159M

Jan 2, 2013

Mar 30, 2012

dropped

n/a

THE ALPHAGEN RIGEL FUND LIMITED

Hedge Fund

$136M

Dec 20, 2017

Feb 18, 2015

dropped

n/a

ALPHAGEN JAPAN SELECT ABSOLUTE RETURN FUND LIMITED

Hedge Fund

$133M

Feb 18, 2015

Mar 30, 2012

dropped

n/a

THE ALPHAGEN UK SMALL CAP BEST IDEAS FUND LIMITED

Hedge Fund

$132M

May 31, 2016

Mar 30, 2012

dropped

n/a

THE ALPHAGEN VOLANTIS CATALYST FUND LIMITED

Hedge Fund

$130M

May 31, 2016

Aug 28, 2013

dropped

n/a

THE ALPHAGEN LIQUIDITY RISK PREMIUM FUND LIMITED

Hedge Fund

$129M

Dec 20, 2017

Mar 30, 2016

dropped

n/a

OC 526 OFFSHORE FUND LTD

Hedge Fund

$116M

Nov 25, 2019

Mar 28, 2013

reported

021-196145

THE ALPHAGEN RELATIVE VALUE AGRICULTURE FUND LIMITED

Hedge Fund

$105M

Dec 20, 2017

Mar 30, 2012

dropped

n/a

THE ALPHAGEN TENRO FUND LIMITED

Hedge Fund

$92.7M

Feb 18, 2015

Mar 30, 2012

dropped

n/a

THE ALPHAGEN TUCANA FUND LIMITED

Hedge Fund

$83.3M

Feb 18, 2015

Mar 30, 2012

dropped

n/a

HENDERSON ASIA PACIFIC ABSOLUTE RETURN FUND I INC.

Hedge Fund

$58.4M

Nov 26, 2013

Mar 30, 2012

dropped

n/a

HENDERSON EUROPEAN ABSOLUTE RETURN FUND LIMITED

Hedge Fund

$57.0M

Aug 28, 2013

Mar 30, 2012

dropped

n/a

THE ALPHAGEN ALTAIR MASTER FUND LIMITED

Hedge Fund

$49.0M

Jan 30, 2019

Mar 30, 2016

reported

n/a

THE ALPHAGEN ENERGY BEST IDEAS FUND LLC

Hedge Fund

$48.9M

Dec 20, 2017

Nov 4, 2015

dropped

n/a

HENDERSON ASIA PACIFIC SELECT ABSOLUTE RETURN FUND LIMITED

Hedge Fund

$47.6M

Aug 28, 2013

Mar 30, 2012

dropped

n/a

HENDERSON EUROPEAN SELECT ABSOLUTE RETURN FUND LIMITED

Hedge Fund

$47.6M

Jan 2, 2013

Mar 30, 2012

dropped

n/a

THE ALPHAGEN JAPAN SELECT ABSOLUTE RETURN MASTER FUND LIMITED

Hedge Fund

$42.7M

May 31, 2016

Mar 30, 2016

dropped

n/a

THE ALPHAGEN JAPAN SELECT ABSOLUTE RETURN FUND LIMITED

Hedge Fund

$42.7M

May 31, 2016

Mar 30, 2016

dropped

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

De Sausmarez, Havilland, James

Director

yes

03/2019

Mar 29, 2019

Nov 25, 2019

GREENWOOD, PAUL, BRUCE

Director

yes

03/2019

Mar 29, 2019

Nov 25, 2019

HENDERSON GLOBAL GROUP LIMITED

Shareholder

yes

09/2009

Mar 30, 2012

Nov 25, 2019

HENDERSON GLOBAL INVESTORS (HOLDINGS) LIMITED

Owner

yes

07/2010

Mar 30, 2012

Nov 25, 2019

HENDERSON GLOBAL INVESTORS (HOLDINGS) LIMITED

Shareholder

yes

07/2010

Mar 30, 2012

Nov 25, 2019

HENDERSON GROUP HOLDINGS ASSET MANAGEMENT LIMITED

Shareholder

yes

12/2012

Mar 28, 2013

Nov 25, 2019

HENDERSON HOLDINGS GROUP LIMITED

Shareholder

yes

09/2009

Mar 30, 2012

Nov 25, 2019

HGI ASSET MANAGMENT GROUP LIMITED

Shareholder

yes

12/2012

Mar 28, 2013

Nov 25, 2019

HGI GROUP LIMITED

Shareholder

yes

09/2009

Mar 30, 2012

Nov 25, 2019

HO, MICHAEL, CHIMIN

Director

yes

06/2019

Nov 25, 2019

JANUS HENDERSON GROUP PLC

Shareholder

yes

12/2012

Jun 28, 2017

Nov 25, 2019

Chaudhuri, Rhiannon, Willow

Director

09/2017

Sep 28, 2017

Nov 25, 2019

FOGGIN, JOHN, GRAHAM

Director

10/2016

Mar 31, 2017

Nov 25, 2019

WOLD, SUSAN, KELLY

CHIEF COMPLIANCE OFFICER

03/2018

Mar 29, 2018

Nov 25, 2019

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

JANUS CAPITAL MANAGEMENT LLC

n/a

Asset manager

$380B

yes

n/a

PERKINS INVESTMENT MANAGEMENT LLC

n/a

Former SEC adviser

$8.0B

yes

n/a

HENDERSON EQUITY PARTNERS LIMITED

n/a

yes

n/a

HENDERSON GLOBAL INVESTORS (SINGAPORE) LIMITED

n/a

yes

n/a

HENDERSON GLOBAL INVESTORS LIMITED

n/a

yes

n/a

HENDERSON INTERNATIONAL (GP) LLC

n/a

yes

n/a

HENDERSON INVESTMENT FUNDS LIMITED

n/a

yes

n/a

HENDERSON MANAGEMENT SA

n/a

yes

n/a

JANUS CAPITAL INTERNATIONAL LIMITED

n/a

yes

n/a

JANUS DISTRIBUTORS LLC

n/a

yes

n/a

JANUS HENDERSON INVESTORS (AUSTRALIA) FUNDS MANAGEMENT LIMITED

n/a

yes

n/a

JANUS HENDERSON INVESTORS (AUSTRALIA) INSTITUTIONAL FUNDS MANAGEMENT LIMITED

n/a

yes

n/a

OPTIMUM INVESTMENT MANAGEMENT LIMITED

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Singapore

n/a

Singapore

Denver

United States

yes

Chicago

United States

SAN FRANCISCO

United States

Edinburgh

n/a

United Kingdom

Melbourne

n/a

Australia

Sydney

n/a

Australia

Tokyo

n/a

Japan

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Mar 29, 2019

$2.1B

$1.5B

2017

Mar 29, 2018

$3.0B

610

$2.0B

2016

Mar 31, 2017

$2.9B

n/a

$2.0B

2015

Mar 30, 2016

$2.9B

n/a

$2.4B

2014

Mar 31, 2015

$3.2B

101

n/a

$2.2B

2013

Mar 31, 2014

$3.6B

132

n/a

$3.9B

2012

Mar 28, 2013

$4.4B

132

102

n/a

$2.7B

2011

Mar 30, 2012

$4.9B

n/a

$3.5B

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2018

$2.1B

$3.0B

-29.6%

$2.9B

-10.0%

610