Rockefeller Asset Management International Ltd

Reference number: 972015

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Appointed representative

This firm does not hold FCA authorisation of its own, and acts under a principal firm, which is legally responsible for its regulated business.

Responsible principal firm

Kroll Securities Ltd Reference number: 466588 Authorised View firm →
What does this mean?
  • An appointed representative (AR) can carry out regulated financial services, but is not directly authorised by the FCA. A principal firm holds the authorisation and is legally responsible for the AR's conduct.
  • Rockefeller Asset Management International Ltd (FRN 972015) is an AR of Kroll Securities Ltd (FRN 466588). When you use Rockefeller Asset Management International's services, the FCA authorisation sits with the principal firm.
  • Example: if you take financial advice from Rockefeller Asset Management International, complaints and compensation usually follow the same rules as dealing with the principal, but this depends on the product and your circumstances.
  • Before you proceed, confirm contact details match the official FCA register for both firms. Scammers sometimes clone legitimate AR names and FRNs but use fake phone numbers and websites.

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.

  • No website on the FCA register

  • Phone number

    020 4549 7856

  • Address

    4th Floor, 2 Savile Row, London, Westminster, W1S 3PA, United Kingdom

In the full report: 2 background checks

  • What kind of line 020 4549 7856 is
  • Who else gives the postcode W1S 3PA
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Other names (1)

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

  • Rockefeller Global Investment Management International Trading name

FCA permissions and consumer protection

  • Protection through the principal firm
    Protection works through Kroll Securities Ltd, the principal firm responsible for this firm's regulated activity. FSCS cover and the Financial Ombudsman Service apply as they would to the principal.
  • Complaints Ombudsman, free
    You can refer a complaint about this firm to the Financial Ombudsman Service for free, whichever activity it relates to.

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
13567109
Company status
Active
Company type
Private limited company
Incorporated
16 August 2021 (5 years old)
Registered office
27 Old Gloucester Street, London, WC1N 3AX, United Kingdom
Nature of business
  • Fund management activities (SIC 66300)

Directors and company secretaries

Name Role Born Appointed Other companies
Timothy J. Mccarthy Director Nov 1970 16 Aug 2021 None
John A. Montgomery Jr Director Aug 1962 16 Aug 2021 None
Laura Katherine Esposito Director Oct 1976 31 Dec 2024 None

In the full report: every company its directors have run

  • Confirmation that these 3 directors run no other company
  • All 4 people who have been directors, with their dates
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Key dates in its history

This firm’s history from the FCA register and Companies House, newest first.

Key events (5) All events (11)

2026

31 March 2026

  • David Christopher Ott no longer has significant control

Companies House

2022

14 March 2022

  • Became an appointed representative

FCA register

2021

16 August 2021

  • Incorporated at Companies House
  • David Christopher Ott gained significant control
  • Ole Andreas Halvorsen gained significant control

Companies House

In the full report: all 11 events

  • All 11 events in its history (5 shown here)
  • Every director appointment and resignation: 5
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Connected firms

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

connected firm
1
share its postcode
1

In the full report: the connected firm, named

  • How it is linked: the same postcode (1)
  • Who links it to this firm: the named directors, with dates
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Similar firms

Other firms of the same type (financial adviser), nearest first.

In London

SIX Financial Information UK LimitedLondonAppointed representativeBarrenjoey Investment Management (UK) LimitedLondonAppointed representativeMoonfare UK LimitedLondonAppointed representativeAlpha FX Institutional LimitedLondonAppointed representativeLCP Capital Solutions LimitedLondonAppointed representativeBrighton Park Capital UK LimitedLondonAppointed representative

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 this firm

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

  • Every company its directors have run, named
  • 2 background checks on its contact details
  • All 11 events in its history
  • 1 connected firm, named, and who links them

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Frequently asked questions about this firm

Is Rockefeller Asset Management International Ltd FCA authorised?
Rockefeller Asset Management International Ltd (FRN 972015) is not directly authorised. It is an appointed representative acting under the responsibility of a directly authorised principal firm.
What does appointed representative mean for Rockefeller Asset Management International?
An appointed representative (AR) can carry out regulated financial services, but is not directly authorised by the FCA. A principal firm holds the authorisation and is legally responsible for the AR's conduct. Rockefeller Asset Management International Ltd (FRN 972015) is an AR of Kroll Securities Ltd (FRN 466588). When you use Rockefeller Asset Management International's services, the FCA authorisation sits with the principal firm. Example: if you take financial advice from Rockefeller Asset Management International, complaints and compensation usually follow the same rules as dealing with the principal, but this depends on the product and your circumstances. Before you proceed, confirm contact details match the official FCA register for both firms. Scammers sometimes clone legitimate AR names and FRNs but use fake phone numbers and websites.
What is Rockefeller Asset Management International’s phone number?
The FCA register lists the phone number 020 4549 7856 for Rockefeller Asset Management International. If you were given different contact details, use these to check with the firm before going any further.
Is Rockefeller Asset Management International a scam or clone?
Rockefeller Asset Management International 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 Rockefeller Asset Management International?
Protection works through Kroll Securities Ltd, the principal firm responsible for Rockefeller Asset Management International's regulated activity. FSCS cover and the Financial Ombudsman Service apply as they would to the principal.
Who owns Rockefeller Asset Management International?
Companies House lists one person with significant control of Rockefeller Asset Management International: Mr Ole Andreas Halvorsen (significant influence or control). Before that, it was controlled by Mr David Christopher Ott.
Who runs Rockefeller Asset Management International?
Companies House lists 3 directors of Rockefeller Asset Management International: Timothy J. McCarthy, John A. Montgomery Jr and Laura Katherine Esposito.
How long has Rockefeller Asset Management International been in business?
The company was formed on 16 August 2021.
Does Rockefeller Asset Management International use any other names?
It trades as Rockefeller Global Investment Management International.

Sources and links

The full report on Rockefeller Asset Management International Ltd

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