Rockspring Pim Limited (London)

Name: Rockspring Pim Limited
Address: 166 Sloane Street, London, Sw1 X9 Qf
Telephone: 44 (207) 761-3300

Rockspring Pim Limited is a large advisory firm based in London. It manages $2.85 billion of regulatory assets for 12 client accounts. It has been registered with the SEC as an adviser since 2009.

Rockspring Pim Limited provides portfolio management for pooled investment vehicles and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Rockspring Pim Limited: assets under management

The assets under management (AUM) of Rockspring Pim Limited is $2.85 billion. The company doesn't manage any assets belonging to foreign clients.

The firm manages $2.46 billion in discretionary accounts and $388.22 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $245.95 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $194.11 million.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Rockspring Pim Limited for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Rockspring Pim Limited

Robert John Hudson Palmer has been acting as President since 1 Jan 1997. Paul John Hampton joined the executive team most recently as the Director.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Richard Martin Plummer	Director & chairman	1 Mar 1993	Other	4361448
Robert Alfred Gilchrist	Managing director	1 Mar 1993	Other	4361452
Robert John Hudson Palmer	Director	1 Jan 1997	Other	4361466
Ian Edward Baker	Director & chief compliance officer	1 Nov 1999	Other	4361462
Frances Mary Harnetty	Director	1 Apr 2001	Other	4641621
Neal Shegog	Director	1 Apr 2003	Other	4762110
Rockspring Property Holdings Limited	Parent company	1 Jul 2004	75% - 100%	5108612
Paul John Hampton	Director	1 Apr 2006	Other	5316799
Kathryn Dixon	Director	1 Apr 2006	Other	5316800

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Richard Martin Plummer	Shareholder	1 Jul 2004	25% - 50%	4361448

Based in London

The principal office where Rockspring Pim Limited performs its advisory services is located at 166 Sloane Street, London, Sw1 X9 Qf, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 44 (207) 761-3300 or by fax 44 (207) 761-3402. The normal business hours are 9:00 a.m. to 5:30 p.m. on Monday - Friday. You can find more information about the New York firm at www.rockspringpim.com.