RATHBONES

RIASEC RegisteredEst. 2005

Total AUM

$135B

Discretionary

$119B

88% of AUM

Avg account

$615K

Accounts

219,634

Employees

1,715

Advisory reps

Firm details

Headquarters: LIVERPOOL,
CRD number: 124925
Registered since: November 16, 2005
Website: www.rathbones.com
Custodians: RATHBONE NOMINEES LIMITED, ALLFUNDS BANK SAU LONDON BRANCH, THE BANK OF NEW YORK MELLON
Fee structure: Percentage of AUM, Fixed Fees, Commissions
Client types: HNWI42.09%
Individuals21.55%
Pension & Profit Sharing Plans16.52%
Charitable Organizations9.52%
Corporations / Businesses5.85%
Services: Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsPension ConsultingPublication of PeriodicalsEducational Seminars / Workshops

Firm profile

FINTRX

Overview

Rathbones operates as an SEC-registered investment adviser (since 2005) that combines wealth management and banking-like services. The firm serves both individual/family and institutional clients and offers a mix of fee models (percentage of AUM, fixed fees) and commission-based products. It is classified as an independent RIA and a qualified custodian and lists business activities that include banking and distribution of other financial products. Rathbones provides financial planning and portfolio management for individuals, small businesses and larger institutions, along with pension consulting, publications and client education seminars. The firm does not report being an active ESG investor and does not characterize itself as a capital allocator. Rathbones also has affiliations consistent with custody and trust activity and with sponsoring or acting as a GP/manager of pooled investment vehicles, indicating it both advises client portfolios and participates in managing collective investment vehicles.