Puma Investment Management Limited: FCA regulated?

Authorised by the FCA

This firm is on the FCA register and authorised to carry out regulated activities.

Authorised for 13 years
Your funds are protected by FSCS
No FCA actions
Active company since 2012

Website, phone number and address

Compare these against whatever you were given. Scammers clone real firm names and reference numbers but use their own phone number and website, so a detail that does not match the register is the clearest warning sign there is.

Website

pumainvestments.co.uk (opens in a new tab)
Phone number

020 7408 4050
Address

Puma Investments Ltd, Cassini House 57-59, St. James's Street, London, Westminster, SW1A 1LD, United Kingdom

In the full report: 3 background checks

When pumainvestments.co.uk first appeared online, and whether it can receive email
What kind of line 020 7408 4050 is, and the 2 other firms that give it
Who else gives the postcode SW1A 1LD

Other names (5)

If you were contacted under any of these names, it is this firm.

Puma Capital Group Trading name: A name it trades under now.
Puma Investments Trading name: A name it trades under now.
Puma Listed Equities Former trading name: A name it used to trade under.
Puma Private Equity Former trading name: A name it used to trade under.
Puma Property Finance Former trading name: A name it used to trade under.

FCA permissions and consumer protection

Give regulated advice FSCS may apply
A claim for unsuitable advice is itself FSCS-protected, up to the limit that applies to the product you were advised on.
Manage or trade investments · Run or oversee funds FSCS may apply
Eligible investment and pension claims are typically FSCS-protected up to £85,000 per person, depending on the product and your circumstances.
Sell or arrange insurance FSCS may apply
Eligible insurance claims may be FSCS-protected, often 90%, or 100% for compulsory or long-term cover.
Complaints Ombudsman, free
You can refer a complaint about this firm to the Financial Ombudsman Service for free, whichever activity it relates to.

Show FCA detail (9 permissions)

Advising on investments (except on Pension Transfers and Pension Opt Outs)
Advising on P2P agreements
Arranging (bringing about) deals in investments
Assisting in the administration and performance of a contract of insurance
Dealing in investments as agent
Establishing, operating or winding up a collective investment scheme
Making arrangements with a view to transactions in investments
Managing an unauthorised AIF
Managing investments

Limits on what they may do

This firm may handle your money in passing but must not hold it, so payments should go to the product provider, never to a personal account.

One supervisory condition set by the FCA

These are conditions the FCA places on the firm itself, covering things like capital it must hold and what it must report. They do not change what the firm may do for you.

Small Authorised UK AIFM (Sub-Threshold)
The total value of assets under management by the firm must not exceed the relevant threshold as set out in Article 3(2) of AIFMD (as determined under Chapter II, section I of the AIFMD level 2 regulation). In the event that the relevant threshold is breached, the firm must submit an application for authorisation as a Full-scope UK AIFM to the FCA

FCA disciplinary action and complaints

No FCA disciplinary action.

The Financial Ombudsman Service only publishes complaint figures for firms with 30 or more new complaints in six months, so there are none here for this firm.

Companies House record

The company behind the firm: its status, age, registered office and directors.

Company number: 08210180 (opens Companies House in a new tab)
Company status: Active
Company type: Private limited company
Incorporated: 11 September 2012 (14 years old)
Registered office: Cassini House, 57 St James's Street, London, SW1A 1LD, England
Nature of business: Fund management activities (SIC 66300)

Directors and company secretaries

Name	Role	Born	Appointed	Other companies
David Robert Kaye	Director	Nov 1977	11 Sep 2012	19 other companies
Eliot Charles Kaye	Director	Oct 1974	14 Dec 2012	52 other companies
Paul James Frost	Director	Oct 1979	7 Mar 2020	20 other companies
Tarinee Pandey	Director	Nov 1979	7 Jul 2022	1 other company
Alexander Rupert West	Director	Jun 1981	5 May 2023	16 other companies
Rachel Claire Kaye (Dr)	Secretary	Not published	13 Jul 2018	–

Other companies run by these 5 directors

A firm is run by people, and their other companies are their track record: what they built, what closed, and anything that failed. It is the check most people never think to make.

other companies: 94
closed down: 50
went insolvent: 2

In the full report: all 94 companies, named

What each company does, and whether it is still trading
Which of these 5 directors sit on each board, and since when
The 2 that went into liquidation or administration
The one on the FCA register
The 11 companies these 5 directors run together
All 7 people who have ever been directors, with their dates

Key dates in its history

Puma Investment Management’s history from the FCA register and Companies House, newest first.

Key events (6) All events (25)

2016

6 April 2016

Shore Capital Limited took control (75–100% of shares)

Companies House

2014

27 June 2014

FCA imposed a requirement (Small Authorised UK AIFM (Sub-Threshold))

FCA register

2013

15 May 2013

Regulated by the FCA from this date
FCA imposed a requirement (May control but not hold client money)
Became authorised by the FCA

FCA register

2012

11 September 2012

Incorporated at Companies House

Companies House

In the full report: all 25 events

All 25 events in its history (6 shown here)
Every director appointment and resignation: 9

Firms connected to Puma Investment Management

Other FCA-listed firms that share a director, phone number or address with Puma Investment Management. A link shows who the firm is tied to, not whether either can be trusted.

connected firms: 4
share its phone number: 2
share its postcode: 4

In the full report: all 4 connected firms, named

How each is linked: the same phone number (2), the same postcode (4)
Who links each one: the named directors, with dates
1 past link through former directors

Firms like Puma Investment Management

Other firms of the same type (investment or fund manager), nearest first.

In London

UBS Asset Management (UK) LtdLondonAuthorised UBS Asset Management Funds LtdLondonAuthorised Revolut Trading LtdLondonAuthorised BlackRock Advisors (UK) LimitedLondonAuthorised BlackRock Fund Managers LimitedLondonAuthorised BlackRock Investment Management (UK) LimitedLondonAuthorised

Firms are listed by type and location, best known first. Being listed is not a recommendation: check any firm before you deal with it.

Get the full report on Puma Investment Management

Everything on this page, plus everything locked above, in one dated PDF you can keep, file or send on.

94 other companies its directors have run, named
3 background checks on its contact details
All 25 events in its history
4 connected firms, named, and who links them

Instant PDF One-off payment Secure checkout by Stripe

Frequently asked questions about this firm

Is Puma Investment Management Limited FCA authorised?

Yes, Puma Investment Management Limited (FRN 590919) is authorised by the FCA to carry out regulated activities. It has held its current authorisation since May 2013 and works as an investment or fund manager. The FCA has placed a limit on what it may do.

What is Puma Investment Management’s phone number and website?

The FCA register lists the phone number 020 7408 4050 and the website pumainvestments.co.uk for Puma Investment Management. If you were given different contact details, use these to check with the firm before going any further. The same number is also given by 2 other FCA firms.

Is Puma Investment Management a scam or clone?

Puma Investment Management is a genuine FCA-listed firm, and the FCA has published no warnings about fake versions of it. Scammers do copy real firms, though, so check that any contact details you were given match the ones on the register.

Is my money safe with Puma Investment Management?

Its FCA permissions do not allow it to hold or control client money. It depends on the product, but eligible claims may be protected by the FSCS. You can also refer complaints about Puma Investment Management to the Financial Ombudsman Service, free of charge.

Who owns Puma Investment Management?

Puma Investment Management is owned by Shore Capital Limited, which holds 75–100% of shares, 75–100% of votes and can appoint and remove the board, since 6 April 2016.

Who runs Puma Investment Management?

Companies House lists 5 directors of Puma Investment Management: David Robert Kaye, Eliot Charles Kaye, Paul James Frost, Tarinee Pandey and Alexander Rupert West.

How long has Puma Investment Management been in business?

The company was formed on 11 September 2012, and has held its current FCA authorisation since May 2013.

Does Puma Investment Management use any other names?

It trades as Puma Capital Group and Puma Investments. It has previously used 3 other names: Puma Listed Equities, Puma Private Equity and Puma Property Finance.