Harwood Capital LLP (London)

Name: Harwood Capital LLP
Address: 6 Stratton Street, London, W1 J 8 Ld
Telephone: 44 207 640 3200

Harwood Capital LLP is a large advisory firm based in London. It manages $745.71 million of regulatory assets for 143 client accounts. It has been registered with the SEC as an adviser since 2012.

Harwood Capital provides portfolio management for individuals and small businesses, 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.

Harwood Capital: assets under management

The assets under management (AUM) of Harwood Capital LLP is $745.71 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -16% since the beginning of its operation, and $745.71 million of the total AUM is attributable to clients outside of the United States.

The firm manages $745.71 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $5.21 million each.

Harwood Capital has custody of $740.85 million in cash and securities for 149 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in non-exchange traded securities the most. They account for 51% of the total AUM. The second-largest asset type is exchange traded securities, which make up 49% of the firm’s portfolio.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Harwood Capital LLP 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.

What kind of clients Harwood Capital serves?

The firm provides services to investment companies, high net worth individuals, pooled investment vehicles, and corporations or other businesses. The largest group of clients of Harwood Capital is investment companies with 35 clients and $607.86 million of assets under management. Among the 11 most similar advisory firms, Harwood Capital has the highest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $745.71 million for 143 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 88% of the firm’s clients are foreign persons or businesses.

Harwood Capital also advises several private funds. Namely, two private equity funds. The minimum investment commitment required of non-related persons is $3,137,500 for each fund.

Careers at Harwood Capital LLP

The company employs 15 people that are either part- or full-time employees. 47 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
James Douglas Agnew	Member	1 Mar 2003	Other	6029160
Jeremy James Brade	Member	1 Mar 2003	Other	6029163
Timothy James Sturm	Member	1 Mar 2003	Other	6029167
Christopher Harwood Bernard Mills	Member	1 Mar 2003	Other	5082310
Harwood Capital Management Limited	Sharholder	1 Mar 2003	75% - 100%	foreign
Faye Elizabeth Foster	Member	1 Mar 2003	Other	2920434
Michael Hugh Hayes	Member	1 Mar 2003	Other	6029166
Ryan Jd Corton	Chief operations officer	1 Oct 2011	Other	5801340
Bonita Guntrip	Chief compliance officer	1 Apr 2012	Other	6029171
Stavros Jones	Member	1 Apr 2012	Other	6085453
Watkin Samuel	Chief compliance officer	1 Apr 2012	Other	6029171
Keith Jelley	Special partner	1 Apr 2012	Other	6085453
Syed Arafat Hussain Shah	Chief compliance officer	1 Apr 2018	Other	6997745
Christopher John Hart	Chief operating officer	1 Mar 2019	Other	7160699

Based in London

The principal office where Harwood Capital LLP performs its advisory services is located at 6 Stratton Street, London, W1 J 8 Ld, which is also the mailing address of the firm. The firm also has an office outside of the United States.

You can reach the main office by calling the phone number 44 207 640 3200 or by fax 44 207 640 3299. The normal business hours are 9am - 5.30pm on Monday - Friday. You can find more information about the New York firm at harwoodcapital.co.uk/.