# RATHBONES INVESTMENT MANAGEMENT LIMITED

RATHBONES INVESTMENT MANAGEMENT LIMITED of LIVERPOOL is an SEC-registered investment adviser.

## Registration

- CRD: 124925
- Type: SEC-registered investment adviser
- SEC file number: 801-64731
- Location: PORT OF LIVERPOOL BUILDING, PIER HEAD, LIVERPOOL, L3 1NW
- Phone: +44-151 236 6666
- Latest filing: 2026-07-14
- Regulatory AUM: $135.1B
- Discretionary AUM: $118.9B
- Non-discretionary AUM: $16.2B
- Clients: 1,715
- Accounts: 219,634

## Business model

- Compensation: % of AUM, Fixed, Commissions
- Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Corporations

## Officers, owners & control persons (74)

_Showing 25 of 74 people._

| Name | Role | Location |
| --- | --- | --- |
| [Michael Turner](https://search.stillhousedata.com/person/72978) | CHIEF OPERATING OFFICER | Orlando, FL |
| [WEBB MARK](https://search.stillhousedata.com/person/592991) | DIRECTOR RATHBONE INVESTMENT MANAGEMENT LTD | SALT LAKE CITY, UT |
| [Sarah Felicity Gentleman](https://search.stillhousedata.com/person/667853) | NON EXECUTIVE DIRECTOR RATHBONES INVESTMENT MANAGEMENT LTD | — |
| [Terri Lynn Duhon](https://search.stillhousedata.com/person/667854) | NON EXECUTIVE DIRECTOR RATHBONES INVESTMENT MANAGEMENT LTD | — |
| [Clive Christopher Roger Bannister](https://search.stillhousedata.com/person/667855) | CHAIRMAN RATHBONES INVESTMENT MANAGEMENT LTD | — |
| [Iain Alexander Cummings](https://search.stillhousedata.com/person/667856) | NON EXECUTIVE DIRECTOR RATHBONES INVESTMENT MANAGEMENT LTD | — |
| [Dharmash Pravin Mistry](https://search.stillhousedata.com/person/667857) | NON EXECUTIVE DIRECTOR RATHBONES INVESTMENT MANAGEMENT LTD | — |
| [Iain William Hooley](https://search.stillhousedata.com/person/667858) | CHIEF FINANCIAL OFFICER AND EXECUTIVE DIRECTOR | — |
| [Jonathan Edward Hugh Sorrell](https://search.stillhousedata.com/person/667859) | CHIEF EXECUTIVE OFFICER | — |
| [Annette Louise Dowden](https://search.stillhousedata.com/person/667860) | CHIEF COMPLIANCE OFFICER | — |
| [Lesley-Anne Collinge](https://search.stillhousedata.com/person/670237) | CHIEF COMPLIANCE OFFICER | — |
| [Andrew John Paterson Brodie](https://search.stillhousedata.com/person/686561) | CHIEF OPERATING OFFICER | — |
| [Robert Paul Stockton](https://search.stillhousedata.com/person/691278) | CHIEF EXECUTIVE RATHBONES INVESTMENT MANAGEMENT LTD | — |
| [MOORLEY JOHN IAN](https://search.stillhousedata.com/person/736069) | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER AND DIRECTOR RATHBONE INVESTMENT MANAGEMENT LTD | — |
| [VERNON JEFFERY BARRY](https://search.stillhousedata.com/person/736070) | DIRECTOR RATHBONE INVESTMENT MANAGEMENT LTD; FINANCE DIRECTOR (RATHBONE INVESTMENT MANAGEMENT LTD) | — |
| [HEXTON CLIVE RICHARD CHARLES](https://search.stillhousedata.com/person/736071) | DIRECTOR RATHBONE INVESTMENT MANAGEMENT LTD | — |
| [GORE LANGTON CLARE MARGARET](https://search.stillhousedata.com/person/736072) | DIRECTOR RATHBONE INVESTMENT MANAGEMENT LTD | — |
| [CUNNINGHAM HAROLD MICHAEL CLUNIE](https://search.stillhousedata.com/person/736073) | DIRECTOR RATHBONE INVESTMENT MANAGEMENT LTD | — |
| [DODD LORRAINE ANTONIA CARROL](https://search.stillhousedata.com/person/736074) | DIRECTOR RATHBONE INVESTMENT MANAGEMENT LTD | — |
| [KENNY BERNARD](https://search.stillhousedata.com/person/736075) | DIRECTOR RATHBONE INVESTMENT MANAGEMENT LTD | — |
| [HENDERSON JOHN GEORGE](https://search.stillhousedata.com/person/736076) | DIRECTOR RATHBONE INVESTMENT MANAGEMENT LTD | — |
| [BOLTON-CARTER TIMOTHY JOHN](https://search.stillhousedata.com/person/736077) | DIRECTOR RATHBONE INVESTMENT MANAGEMENT LTD | — |
| [LANYON RICHARD PATRICK](https://search.stillhousedata.com/person/736078) | DIRECTOR RATHBONE INVESTMENT MANAGEMENT LTD | — |
| [POWELL GEOFFREY MARK](https://search.stillhousedata.com/person/736079) | DIRECTOR RATHBONE INVESTMENT MANAGEMENT LTD | — |
| [MORRIS ANDREW TIMOTHY](https://search.stillhousedata.com/person/736080) | DIRECTOR RATHBONE INVESTMENT MANAGEMENT LTD | — |


## Disclosures (1)

| 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 | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/124925/brochure
- Similar advisers: https://search.stillhousedata.com/firm/124925/similar
- Related entities: https://search.stillhousedata.com/firm/124925/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/124925

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.