Finisterre Malta Limited (Valletta)

Name: Finisterre Malta Limited
Address: 171, Valletta, Vlt 1455
Telephone: +44 203 206 6910

Finisterre Malta Limited is an adviser based in Valletta. It has been registered with the SEC as an adviser since 2014.

Finisterre Malta Limited provides selection of other advisers and non-discretionary management. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Finisterre Malta Limited has custody of $288.67 million in cash and securities for 2 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Finisterre Malta Limited for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Finisterre Malta Limited

The company employs 4 people that are either part- or full-time employees. 25 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
David James Mcgeough	Board member	1 Dec 2009	Other	5070889
Raymond Busuttil	Board member	1 Dec 2009	Other	6035186
Frode Foss Skiftesvik	Board member	1 Dec 2009	Other	5051483
Finisterre Holdings Limited	Shareholder	1 Dec 2009	75% - 100%	foreign
Ursula Elizabeth Newman	Chief compliance officer	1 Jan 2011	Other	6039169
Sylvana Sciberras	General manager	1 Dec 2013	Other	6544676
Oliver Joshua Penn	Chief risk officer	1 Apr 2014	Other	6349436
David Andrew Burnside	Board member	1 Jan 2017	Other	4722038
George Attard	General manager	1 Jun 2019	Other	7138289

Indirect Owners

The SEC currently registers 9 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Principal Life Insurance Company	Shareholder	1 Sep 1998	75% - 100%	42-0127290
Principal Financial Services Inc.	Shareholder	1 Oct 2001	75% - 100%	42-1520348
Inc. Principal Financial Group	Shareholder	1 Oct 2001	75% - 100%	42-1520346
Principal Global Investors	Shareholder	1 Jul 2011	50% - 75%	109002
Principal Financial Services Inc.	Shareholder	1 Aug 2015	75% - 100%	42-1520348
Ltd. Principal Global Financial (Europe) Ii	Shareholder	1 Aug 2015	50% - 75%	foreign
Llc Principal Global Investors Holding Company	Shareholder	1 Aug 2015	75% - 100%	27-0054180
Ltd. Principal Global Financial Services (Europe) Ii	Shareholder	1 Aug 2015	75% - 100%	foreign
Ltd Principal Global Financial Services (Europe) Ii	Shareholder	1 Aug 2015	75% - 100%	foreign

Based in Valletta

The principal office where Finisterre Malta Limited performs its advisory services is located at 171, Valletta, Vlt 1455 The mailing address of the firm is Level 5, Marina Business Centre, Ta' Xbiex, Xbx 1127. The firm also has an office outside of the United States.

You can reach the main office by calling the phone number +44 203 206 6910. The normal business hours are 9am - 5pm on Monday - Friday. You can find more information about the New York firm at finisterrecapital.com/.