ALPhagen Capital Limited (London)

Name: ALPhagen Capital Limited
Address: 201 Bishopsgate, London, Ec2 M 3 Ae
Telephone: +442078181818

ALPhagen Capital Limited is a large advisory firm based in London. It manages $2.09 billion of regulatory assets for 16 client accounts. It has been registered with the SEC as an adviser since 2015 and has operated in the jurisdictions of California, Connecticut, Iowa, and 7 other states.

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

ALPhagen Capital Limited: assets under management

The assets under management (AUM) of ALPhagen Capital Limited is $2.09 billion, all of which is managed in discretionary accounts. The firm's AUM has gone down by -35% since the beginning of its operation, and $1.69 billion of the total AUM is attributable to clients outside of the United States.

The firm manages $2.09 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $130.42 million each.

ALPhagen Capital Limited has custody of $1.22 billion in cash and securities for 7 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in cash and cash equivalents the most. They account for 82% of the total AUM. The second-largest asset type is exchange traded securities, which make up 14% of the firm’s portfolio. Investments in derivatives form 5% of the total invested assets.

Fees & Commissions

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

What kind of clients Lesley Elaine Cairney serves?

The only and largest group of clients of Lesley Elaine Cairney is pooled investment vehicles with 11 clients and $1.87 billion of assets under management. Among the 9 most similar advisory firms, ALPhagen Capital Limited has the 3rd lowest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $1.87 billion for 11 clients. 75% of the firm’s clients are foreign persons or businesses.

ALPhagen Capital Limited also advises several private funds. Namely, seven hedge funds and one other private fund. The minimum investment commitment required of non-related persons ranges from $100,000 to $1,000,000.

Careers at ALPhagen Capital Limited

The company employs 49 people that are either part- or full-time employees. 73 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There are 5 people with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Lesley Elaine Cairney has been acting as President since 1 Jun 2013. Susan Kelly Wold joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Richard Patrick Mcnamara	Head of group finance	1 Aug 2011	Other	4489453
Paul James Graham	Managing director	1 Dec 2012	Other	6148438
Yinka Osindero	Chief compliance officer	1 May 2013	Other	4377154
Lesley Elaine Cairney	Director	1 Jun 2013	Other	6408717
David John Elms	Director	1 Jun 2013	Other	6408723
Christopher Benjamin Chaloner	Director	1 Feb 2014	Other	6408722
Martin Robert Skinner	Head group finance - henderson	1 Sep 2015	Other	5287522
John Graham Foggin	Director	1 Oct 2016	Other	6771357
Charles Edward Jones	Chief compliance officer	1 Jun 2017	Other	6823197
Rhiannon Willow Chaudhuri	Director	1 Sep 2017	Other	6864158
Albert Giral Mayol	Chief compliance officer	1 Sep 2017	Other	6864174
Susan Kelly Wold	Chief compliance officer	1 Mar 2018	Other	2197638

Indirect Owners

The SEC currently registers 8 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Hgi Group Limited	Shareholder	1 Sep 2009	75% - 100%	foreign entity
Henderson Holdings Group Limited	Shareholder	1 Sep 2009	75% - 100%	foreign entity
Henderson Global Group Limited	Shareholder	1 Sep 2009	75% - 100%	foreign entity
Henderson Global Investors (Holdings) Limited	Shareholder	1 Jul 2010	75% - 100%	foreign entity
Henderson Group Plc	Shareholder	1 Dec 2012	75% - 100%	foreign entity
Henderson Group Holdings Asset Management Limited	Shareholder	1 Dec 2012	75% - 100%	foreign entity
Hgi Asset Managment Group Limited	Shareholder	1 Dec 2012	75% - 100%	foreign entity
Janus Henderson Group Plc	Shareholder	1 Dec 2012	75% - 100%	foreign entity

Based in London

The principal office where ALPhagen Capital Limited performs its advisory services is located at 201 Bishopsgate, London, Ec2 M 3 Ae, which is also the mailing address of the firm. An additional office of the firm is in Denver, CO. The firm also has an office outside of the United States.

You can reach the main office by calling the phone number +442078181818 or by fax +442078181819. The normal business hours are 9:00 a.m. to 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at henderson.com and its LinkedIn profile.