Investments & Wealth Planning

Discretionary portfolio management including ISAs

As portfolio managers we engage with you, ascertain your risk profile and then invest your capital with complete discretion (within prescribed limits). For individual clients (as opposed to SIPP, trusts and charities) we incorporate stocks and shares ISAs.

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Full nominee service

Shares or investments need not be registered in the name of the beneficial owner and they are often pooled together to ease the process of buying and selling as well as administration of dividends etc. This is now standard practice in the industry.

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Full Capital Gains Tax service

We liaise with clients every year to try and avoid paying any unnecessary CGT.

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Automated Income Payments

Often clients like to receive an income from their portfolio and we can set up an electronic automatic payment into their bank account on a monthly or quarterly basis.

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Regulatory

Class of instrument Equities – Liquidity band 1 & 2 (from 0 to 79 trades per day)

 

Notification of <1 average trade per business day in the previous year N
Top 5 execution venues ranked in terms of trading volumes (descending order) Proportion of volume traded as a percentage of total in that class Proportion of volume executed as a percentage of total in that class Percentage of passive orders Percentage of aggressive orders Percentage of directed orders
AJ Bell Securities Limited (LEI: AJ Bell Securities Limited LEI: 213800VNKA7DPWXWJJ36) 100% 100% 0% 100% 0%

 

Class of instrument Debt instruments – bonds

 

Notification of <1 average trade per business day in the previous year N
Top 5 execution venues ranked in terms of trading volumes (descending order) Proportion of volume traded as a percentage of total in that class Proportion of volume executed as a percentage of total in that class Percentage of passive orders Percentage of aggressive orders Percentage of directed orders
(LEI: AJ Bell Securities Limited LEI: 213800VNKA7DPWXWJJ36) 100% 100% 0% 100% 0%

We place all orders for securities through AJ Bell Securities Limited (AJBS) and we are satisfied with this firm’s ability to deliver best execution for our clients.  We are not closely linked with AJBS and have no connection other than our arrangements for order execution.  We treat all clients as retail clients for the purposes of best execution.

Shareholders Rights Directive (SRD II)

We are required by the Revised Shareholder Rights Directive (SRD II) to explain whether or not we have an engagement policy in relation to the companies we invest in, where the companies’ shares are admitted to trading on a regulated market. As the proportion of shares we hold in investee companies is much lower than those held by large institutional investors, we are not able to engage with investee companies to the extent envisaged by SRDII. Therefore, we do not have a formal engagement policy.

Stewardship Code

We have regard to the Stewardship Code when managing investments for professional clients. It is our policy to review the performance of investee companies and take appropriate action where necessary. Our policy on conflicts of interest, and on voting rights for professional clients, is available on request.