DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Rathbones
Legal name Rathbones Investment Management Limited
Latest filing Jul 14, 2026
First filing on the tape Mar 21, 2012 · 75 filings
SEC status approved since Nov 16, 2005
RAUM
$135B
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
64%
$86B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1,715
725 advisory (5.B.1)
Offices
18
beyond the principal office
Private funds
0
reported on Schedule D
History
75 filings and snapshots on the tape
RAUM$135B as of Jul 14, 2026
Mar 21, 2012$23B then
HNW client RAUM$57B as of Jul 14, 2026
Mar 22, 2018$14B then
State-registered IARs (5.B.3)0 as of Jul 14, 2026
Mar 28, 20130 then
Employees (5.A)1,715 as of Jul 14, 2026
Mar 28, 2013503 then
Private funds: no history
RAUM +102% over the last fiscal year+35% a year over threeIARs 0 to 0offices 19 to 18
Practice profile
derived from the filing of Jul 14, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $615,057derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 88%derivedof RAUM
- Institutional
- 26%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived19 offices incl. principal (1.F.5)
- RAUM growth, one year
- +102%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +74%derived
- Compensation
- percentage of assets, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, publications, educational seminarsreportedItem 5.G
- Financial planning clients
- 3,500reportedItem 5.H
- Custody
- $3.9B, 147,496 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- has discretionary authority over which securities are bought or sold (8.C.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- the adviser acts as qualified custodian (9.D.1)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$57B44%
- Individuals$29B23%
- Pension and profit-sharing plans$22B17%
- Charitable organizations$13B9.9%
- Corporations and businesses$7.9B6.1%
- Banks and thrifts$183M0.1%
- State and municipal entities$5.4M0.0%
- Individual clients
- 95,035reported
- HNW clients
- 20,366reported
- Pension plan clients
- 23,772reported
- Charitable clients
- 3,803reported
- Accounts
- 219,634reported
- Financial planning clients
- 3,500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $3.9B for 147,496 clientsreported
- Compensation
- % of AUM, fixed, commissionsreported
- Class basis
- private_client_share=0.64 fund_share=0.0 institutional_share=0.26 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- John Paterson Andrew Brodie · Chief Operating Officercontrolsince 05/2020 · owns less than 5%
- Lesley-Anne Collinge · Chief Compliance Officercontrolsince 02/2015 · owns less than 5%
- Louise Annette Dowden · Chief Compliance Officercontrolsince 01/2026 · owns less than 5%
- William Iain Hooley · Chief Financial Officer And Executive Directorcontrolsince 01/2024 · owns less than 5%
- Edward Jonathan Sorrell · Chief Executive Officercontrolsince 08/2025 · owns less than 5%
- Paul Robert Stockton · Chief Executive Rathbones Investment Management Ltdcontrolsince 05/2019 · owns less than 5%
- Michael Turner · Chief Operating Officercontrolsince 12/2025 · owns less than 5%
- Christopher Clive Bannister · Chairman Rathbonessince 05/2021 · owns less than 5%
- Alexander Iain Cummings · Non Executive Director Rathbones Investment Management Ltdsince 10/2021 · owns less than 5%
- Lynn Terri Duhon · Non Executive Director Rathbones Investment Management Ltdsince 07/2018 · owns less than 5%
- Felicity Sarah Gentleman · Non Executive Director Rathbones Investment Management Ltdsince 01/2015 · owns less than 5%
- Ruth Leas · Non-Executive Directorsince 09/2023 · owns less than 5%
- Pravin Dharmash Mistry · Non Executive Director Rathbones Investment Management Ltdsince 10/2021 · owns less than 5%
- Caroline Henrietta O'Shea · Non-Executive Directorsince 09/2023 · owns less than 5%
Entity owners
- Rathbones Group Plc · Shareholderdirect · owns 75% or more
- Investec Plc · Shareholderindirect · owns 25% to 50% of Rathbones Group Plc
Related persons
Schedule D 7.A
- Castle Investment Solutions Ltdinvestment advisern
- Investec Wealth & Investment (Channel Islands) Limitedinvestment advisern
- Investec Wealth & Investment Limitedinvestment advisern
- Murray Asset Management Uk Limitedinvestment advisern
- Rathbone Luxemburg Sicavpooled vehicle sponsorn
- Rathbone Nominees Limitedcustodiany
- Rathbones Asset Management Limtedpooled vehicle sponsorn
- Rathbones Investment Management International Ltdinvestment advisery
- Rathbones Trust Company Limitedn
- Rathbones Trust Legal Services Limitedn
- Saunderson House Limitedinvestment advisern
- Vision Independent Financial Planning Ltdinvestment advisern
Offices
Schedule D 1.F, the 25 largest
- London, United Kingdom249 employees
- Glasgow, United Kingdom64 employees
- Bristol, United Kingdom37 employees
- Edinburgh, United Kingdom31 employees
- Winchester, United Kingdom29 employees
- Cambridge, United Kingdom10 employees
- Newcastle-Upon-Tyne, United Kingdom9 employees
- Exeter, United Kingdom7 employees
- Birmingham, United Kingdom6 employees
- Kendal, Cumbria, United Kingdom6 employees
- Leeds, United Kingdom5 employees
- Chichester, United Kingdom4 employees
- Lymington, United Kingdom2 employees
- Cheltenham, United Kingdom2 employees
- Sheffield, United Kingdom1 employees
ADV anomalies
9 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jul 14, 2026COLLINGE, LESLEY-ANNE (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2024-01-04 and 2026-07-14peers: independent wealth managers, $20B and over (84)
- control person changedChange between filings · filing Jul 14, 2026BRODIE, ANDREW, JOHN PATERSON (CHIEF OPERATING OFFICER) left Schedule A between the filings of 2024-01-04 and 2026-07-14peers: independent wealth managers, $20B and over (84)
- control person changedChange between filings · filing Jul 14, 2026SORRELL, JONATHAN, EDWARD (CHIEF EXECUTIVE OFFICER) appeared on Schedule A between the filings of 2024-01-04 and 2026-07-14peers: independent wealth managers, $20B and over (84)
- control person changedChange between filings · filing Jul 14, 2026Turner, Michael (CHIEF OPERATING OFFICER) appeared on Schedule A between the filings of 2024-01-04 and 2026-07-14peers: independent wealth managers, $20B and over (84)
- control person changedChange between filings · filing Jul 14, 2026Dowden, Annette, Louise (CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2024-01-04 and 2026-07-14peers: independent wealth managers, $20B and over (84)
- control person changedChange between filings · filing Jul 14, 2026STOCKTON, ROBERT, PAUL (CHIEF EXECUTIVE RATHBONES INVESTMENT MANAGEMENT LTD) left Schedule A between the filings of 2024-01-04 and 2026-07-14peers: independent wealth managers, $20B and over (84)
- RAUM up 50 %Change between filings · filing Mar 30, 2026RAUM (Item 5.F) moved from $67,005,197,231 to $135,087,393,955 (+102.0%) between the annual amendments of 2025-03-28 and 2026-03-30; the peer median change was +16.0% (80 comparable advisers, 94.0th percentile of changes)peers: independent wealth managers, $20B and over (80) · 94% percentile
- client count surgeChange between filings · filing Mar 30, 2026individual and HNW clients (Item 5.D) moved from 66,416.0 to 115,401.0 (+74.0%) between the annual amendments of 2025-03-28 and 2026-03-30; the peer median change was +8.0% (63 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $20B and over (63) · 97% percentile
- account count surgeChange between filings · filing Mar 30, 2026accounts (Item 5.F.2.f) moved from 130,105.0 to 219,634.0 (+69.0%) between the annual amendments of 2025-03-28 and 2026-03-30; the peer median change was +7.0% (76 comparable advisers, 93.0th percentile of changes)peers: independent wealth managers, $20B and over (76) · 93% percentile
What changed
consecutive filings, newest first
- Accounts · 130,105 to 219,634Jan 19, 2026 to Mar 30, 2026
- Advisory employees · 512 to 725Jan 19, 2026 to Mar 30, 2026
- Charity clients · 2,465 to 3,803Jan 19, 2026 to Mar 30, 2026
- Corporate clients · 1,018 to 2,089Jan 19, 2026 to Mar 30, 2026
- HNW clients · 9,972 to 20,366Jan 19, 2026 to Mar 30, 2026
- Individual clients · 56,444 to 95,035Jan 19, 2026 to Mar 30, 2026
- Pension plan clients · 13,412 to 23,772Jan 19, 2026 to Mar 30, 2026
- Assets in custody · $3.3B to $3.9BJan 19, 2026 to Mar 30, 2026
- Employees · 1,321 to 1,715Jan 19, 2026 to Mar 30, 2026
- Discretionary RAUM · $59B to $119BJan 19, 2026 to Mar 30, 2026
- HNW RAUM · $27B to $57BJan 19, 2026 to Mar 30, 2026
- Individual RAUM · $16B to $29BJan 19, 2026 to Mar 30, 2026
- Non-discretionary RAUM · $7.7B to $16BJan 19, 2026 to Mar 30, 2026
- Pension RAUM · $11B to $22BJan 19, 2026 to Mar 30, 2026
- RAUM · $67B to $135BJan 19, 2026 to Mar 30, 2026
- Financial planning clients · More than 500 to More than 500Mar 28, 2025 to Jul 7, 2025
- Other offices · 19 to 18Mar 28, 2025 to Jul 7, 2025
- Accounts · 127,669 to 130,105Oct 28, 2024 to Mar 28, 2025
- Advisory employees · 528 to 512Oct 28, 2024 to Mar 28, 2025
- Charity clients · 2,446 to 2,465Oct 28, 2024 to Mar 28, 2025
- Corporate clients · 1,033 to 1,018Oct 28, 2024 to Mar 28, 2025
- HNW clients · 9,342 to 9,972Oct 28, 2024 to Mar 28, 2025
- Individual clients · 56,980 to 56,444Oct 28, 2024 to Mar 28, 2025
- Pension plan clients · 12,486 to 13,412Oct 28, 2024 to Mar 28, 2025
- Assets in custody · $2.5B to $3.3BOct 28, 2024 to Mar 28, 2025
- Employees · 1,293 to 1,321Oct 28, 2024 to Mar 28, 2025
- HQ state · unset to Oct 28, 2024 to Mar 28, 2025
- Other offices · 15 to 19Oct 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $57B to $59BOct 28, 2024 to Mar 28, 2025
- HNW RAUM · $25B to $27BOct 28, 2024 to Mar 28, 2025
- Individual RAUM · $16B to $16BOct 28, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $7.1B to $7.7BOct 28, 2024 to Mar 28, 2025
- Pension RAUM · $9.8B to $11BOct 28, 2024 to Mar 28, 2025
- RAUM · $64B to $67BOct 28, 2024 to Mar 28, 2025
- Other offices · 13 to 15Mar 27, 2024 to Jun 3, 2024
- Accounts · 121,284 to 127,669Jan 4, 2024 to Mar 27, 2024
- Advisory employees · 447 to 528Jan 4, 2024 to Mar 27, 2024
- Charity clients · 2,411 to 2,446Jan 4, 2024 to Mar 27, 2024
- Corporate clients · 991 to 1,033Jan 4, 2024 to Mar 27, 2024
- HNW clients · 7,696 to 9,342Jan 4, 2024 to Mar 27, 2024
Signals
6 dated events
- Rathbones reported RAUM $135.1B, up 102% from $67.0B (2026-01-19 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- William Iain Hooley (Chief Financial Officer And Executive Director) appeared on Schedule A of RathbonesJan 4, 2024 · Control person joined · fact
- John Andrew Brodie (Chief Operating Officer) appeared on Schedule A of RathbonesMay 19, 2020 · Control person joined · fact
- Andrew James Butcher (Chief Operating Officer) no longer on Schedule A of Rathbones (listed 2020-03-26, absent 2020-05-19)May 19, 2020 · Control person left · inference
- Rathbones reported RAUM $56.6B, up 42% from $39.8B (2019-12-12 to 2020-03-26)Mar 26, 2020 · RAUM change · derived
- Luard Philip Howell (Chief Executive Rathbone Investment Management Ltd) no longer on Schedule A of Rathbones (listed 2019-04-03, absent 2019-05-10)May 10, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/GREENBANK-INVESTMENTSreportedpublic record, Form ADV, Sep 17, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/RATHBONES-GROUP-PLCreportedpublic record, Form ADV, Sep 17, 2026
- Website
- RATHBONES.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- +44-151 236 6666reportedpublic record, Form ADV, Jul 14, 2026
- Contact form
- rathbones.com/en-gb/wealth-management/contact-usreportedpublished by the firm, firm site, Sep 17, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026