RATHBONES INVESTMENT MANAGEMENT LIMITED of LIVERPOOL is an SEC-registered investment adviser (CRD 124925). Regulatory assets under management: $135.1B.
Compensation: % of AUM, Fixed, Commissions.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Corporations.
Showing 25 of 74 people.
| Name | Role | Location |
|---|---|---|
| Michael Turner | CHIEF OPERATING OFFICER | Orlando, FL |
| WEBB MARK | DIRECTOR RATHBONE INVESTMENT MANAGEMENT LTD | SALT LAKE CITY, UT |
| Sarah Felicity Gentleman | NON EXECUTIVE DIRECTOR RATHBONES INVESTMENT MANAGEMENT LTD | — |
| Terri Lynn Duhon | NON EXECUTIVE DIRECTOR RATHBONES INVESTMENT MANAGEMENT LTD | — |
| Clive Christopher Roger Bannister | CHAIRMAN RATHBONES INVESTMENT MANAGEMENT LTD | — |
| Iain Alexander Cummings | NON EXECUTIVE DIRECTOR RATHBONES INVESTMENT MANAGEMENT LTD | — |
| Dharmash Pravin Mistry | NON EXECUTIVE DIRECTOR RATHBONES INVESTMENT MANAGEMENT LTD | — |
| Iain William Hooley | CHIEF FINANCIAL OFFICER AND EXECUTIVE DIRECTOR | — |
| Jonathan Edward Hugh Sorrell | CHIEF EXECUTIVE OFFICER | — |
| Annette Louise Dowden | CHIEF COMPLIANCE OFFICER | — |
| Lesley-Anne Collinge | CHIEF COMPLIANCE OFFICER | — |
| Andrew John Paterson Brodie | CHIEF OPERATING OFFICER | — |
| Robert Paul Stockton | CHIEF EXECUTIVE RATHBONES INVESTMENT MANAGEMENT LTD | — |
| MOORLEY JOHN IAN | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER AND DIRECTOR RATHBONE INVESTMENT MANAGEMENT LTD | — |
| VERNON JEFFERY BARRY | DIRECTOR RATHBONE INVESTMENT MANAGEMENT LTD; FINANCE DIRECTOR (RATHBONE INVESTMENT MANAGEMENT LTD) | — |
| HEXTON CLIVE RICHARD CHARLES | DIRECTOR RATHBONE INVESTMENT MANAGEMENT LTD | — |
| GORE LANGTON CLARE MARGARET | DIRECTOR RATHBONE INVESTMENT MANAGEMENT LTD | — |
| CUNNINGHAM HAROLD MICHAEL CLUNIE | DIRECTOR RATHBONE INVESTMENT MANAGEMENT LTD | — |
| DODD LORRAINE ANTONIA CARROL | DIRECTOR RATHBONE INVESTMENT MANAGEMENT LTD | — |
| KENNY BERNARD | DIRECTOR RATHBONE INVESTMENT MANAGEMENT LTD | — |
| HENDERSON JOHN GEORGE | DIRECTOR RATHBONE INVESTMENT MANAGEMENT LTD | — |
| BOLTON-CARTER TIMOTHY JOHN | DIRECTOR RATHBONE INVESTMENT MANAGEMENT LTD | — |
| LANYON RICHARD PATRICK | DIRECTOR RATHBONE INVESTMENT MANAGEMENT LTD | — |
| POWELL GEOFFREY MARK | DIRECTOR RATHBONE INVESTMENT MANAGEMENT LTD | — |
| MORRIS ANDREW TIMOTHY | DIRECTOR RATHBONE INVESTMENT MANAGEMENT LTD | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2026-07-16 | regulatory | FOLLOWING ENGAGEMENT WITH THE UK FINANCIAL CONDUCT AUTHORITY, RATHBONES INVESTMENT MANAGEMENT (RIM) HAS UNDERTAKEN A SKILLED PERSON REVIEW OF ITS UK WEALTH MANAGEMENT BUSINESS. THE REVIEW IDENTIFIED AREAS FOR IMPROVEMENT RELATING TO THE IMPLEMENTATION AND EMBEDDING OF THE FCA'S CONSUMER DUTY, TOGETH… | Pending | — |