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Capricorn Fund Managers Limited

London

Owners 5
Private funds 32
Advisory services

From the firm’s Form ADV Item 5G.

Item 5F — Regulatory AUM · Item 5G — Advisory services

Categories
At a Glance
Firm type
ERA
Registered
Oct 18, 2022
CRD #
323709
Locations
0
Locations 0

No locations on record.

Registered Advisors 0

No advisors on record.

Owners & Control Persons 5
Name Title Ownership Schedule
CV5 LIMITED SHAREHOLDER D A
NOIK, DARRYL, SEAN DIRECTOR CRO, CCO B A
CAMPION, JONATHAN, RICHARD DIRECTOR B A
STOELKER, LYNDA, ANN GROUP COO NA A
Bromley-Martin, Edward, Courtney UK COO NA A
CV5 LIMITED
SHAREHOLDER • Ownership D • Schedule A
NOIK, DARRYL, SEAN
DIRECTOR CRO, CCO • Ownership B • Schedule A
CAMPION, JONATHAN, RICHARD
DIRECTOR • Ownership B • Schedule A
STOELKER, LYNDA, ANN
GROUP COO • Ownership NA • Schedule A
Bromley-Martin, Edward, Courtney
UK COO • Ownership NA • Schedule A
Private Funds 32
Fund Type Gross assets
ALL AFRICA FUND LTD
ALL AFRICA CAYMAN FEEDER LTD
ALL AFRICA DELAWARE FEEDER LP 100785850
BARNA MASTER FUND LTD
BARNA OFFSHORE FEEDER FUND LTD 13101405
BLACK CHORDS MASTER FUND LP
BLACK CHORDS FUND LIMITED
BLACK CHORDS FUND LP 4723802
BLUE RIBAND FUND LP
BLUE RIBAND GROUP OFFSHORE FUND LTD 362348719
GENAVEST MASTER FUND LIMITED
GENAVEST FUND LIMITED 218962083
HARA GLOBAL CAPITAL MASTER FUND 1 LTD
HARA GLOBAL CAPITAL FUND I LP
HARA GLOBAL CAPITAL OFFSHORE FUND I LTD 317010819
KANOU ENERGY TRANSITION MASTER LIMITED
KANOU ENERGY TRANSITION FUND LIMITED
NEW WAVE MASTER FUND LIMITED
NEW WAVE FUND LIMITED 47483860
QUANTUM QB MASTER FUND LIMITED
QUANTUM QB FUND LIMITED 16432612
SARDA ALTERNATIVES ICAV
SARDA INDIA MULTIALPHA FUND
SARDA INDIA MULTIALPHA MASTER FUND 92923009
SIBNER REAL ESTATE DEBT (UK) LP 23111197
SILVERSTRIPE I LP 97400051
TRIMONTIUM CAPITAL SOLUTIONS MASTER FUND SCA SICAV-RAIF
TRIMONTIUM CAPITAL SOLUTIONS FEEDER FUND SCA SICAV-RAIF 182327239
WEST 4 CAPITAL LP
WEST 4 CAPITAL FUND LIMITED 79748414
HIDDENITE CAPITAL MASTER FUND LTD.
PRELUDE STRUCTURED ALTERNATIVES MASTER FUND, LP
ALL AFRICA FUND LTD
ALL AFRICA CAYMAN FEEDER LTD
ALL AFRICA DELAWARE FEEDER LP
• 100785850
BARNA MASTER FUND LTD
BARNA OFFSHORE FEEDER FUND LTD
• 13101405
BLACK CHORDS MASTER FUND LP
BLACK CHORDS FUND LIMITED
BLACK CHORDS FUND LP
• 4723802
BLUE RIBAND FUND LP
BLUE RIBAND GROUP OFFSHORE FUND LTD
• 362348719
GENAVEST MASTER FUND LIMITED
GENAVEST FUND LIMITED
• 218962083
HARA GLOBAL CAPITAL MASTER FUND 1 LTD
HARA GLOBAL CAPITAL FUND I LP
HARA GLOBAL CAPITAL OFFSHORE FUND I LTD
• 317010819
KANOU ENERGY TRANSITION MASTER LIMITED
KANOU ENERGY TRANSITION FUND LIMITED
NEW WAVE MASTER FUND LIMITED
NEW WAVE FUND LIMITED
• 47483860
QUANTUM QB MASTER FUND LIMITED
QUANTUM QB FUND LIMITED
• 16432612
SARDA ALTERNATIVES ICAV
SARDA INDIA MULTIALPHA FUND
SARDA INDIA MULTIALPHA MASTER FUND
• 92923009
SIBNER REAL ESTATE DEBT (UK) LP
• 23111197
SILVERSTRIPE I LP
• 97400051
TRIMONTIUM CAPITAL SOLUTIONS MASTER FUND SCA SICAV-RAIF
TRIMONTIUM CAPITAL SOLUTIONS FEEDER FUND SCA SICAV-RAIF
• 182327239
WEST 4 CAPITAL LP
WEST 4 CAPITAL FUND LIMITED
• 79748414
HIDDENITE CAPITAL MASTER FUND LTD.
PRELUDE STRUCTURED ALTERNATIVES MASTER FUND, LP
Main Address

MALTA HOUSE, 36-38 PICCADILLY

2ND FLOOR

LONDON W1J 0DP

United Kingdom


+442039895612

Firm website

Registration
Firm Type
ERA
Status
ACTIVE
Registered
Oct 18, 2022
SEC #
802-126896
CRD #
323709
SEC Region
HQ

View on SEC IAPD

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Filed: 2026-05-19 Form Version: 10/2021
1Identifying Information
1F(5) Total number of offices, other than your Principal Office and place of business 26
1I Do you have one or more websites Yes
1M Are you registered with a foreign financial regulatory authority Yes
1N Are you a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934 No
1O Did you have $1 billion or more in assets on the last day of your most recent fiscal year No
1P Legal Entity Identifier 213800GJHWB8WAJ1OE03
2SEC Registration / Reporting

Exempt Reporting Adviser (Item 2B)

2B(1) Qualify for the exemption from registration as an adviser solely to one or more venture capital funds No
2B(2) Qualify for the exemption from registration because you act solely as an adviser to private funds and have assets under management in the United States of less than $150 million Yes
2B(3) Act solely as an adviser to private funds but you are no longer eligible to check box 2.B.(2) because you have assets under management in the United States of $150 million or more No
3Form of Organization

Organization Type

Other (specify)

Fiscal Year End

DECEMBER

Organized Under Laws Of

, United Kingdom

6Other Business Activities

You or any related person are registered as or qualified as any of the following (Item 6A)

6A(1) Broker-dealer (registered or unregistered) No
6A(2) Registered representative of a broker-dealer No
6A(3) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration) Yes
6A(4) Futures commission merchant No
6A(5) Real estate broker, dealer, or agent No
6A(6) Insurance broker or agent No
6A(7) Bank (including a separately identifiable department or division of a bank) No
6A(8) Trust company No
6A(9) Registered municipal advisor No
6A(10) Registered security-based swap dealer No
6A(11) Major security-based swap participant No
6A(12) Accountant or accounting firm No
6A(13) Lawyer or law firm No
6A(14) Other financial product salesperson No
6B(1) Are you actively engaged in any other business not listed in Item 6.A. (other than giving investment advice) No
6B(3) Do you sell products or provide services other than investment advice to your advisory clients No
7Financial Industry Affiliations

Related persons that are (Item 7A)

7A(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer (registered or unregistered) No
7A(2) Other investment adviser (including financial planners) No
7A(3) Registered municipal advisor No
7A(4) Registered security-based swap dealer No
7A(5) Major security-based swap participant No
7A(6) Commodity pool operator or commodity trading advisor (whether registered or exempt from registration) No
7A(7) Futures commission merchant No
7A(8) Banking or thrift institution No
7A(9) Trust company No
7A(10) Accountant or accounting firm No
7A(11) Lawyer or law firm No
7A(12) Insurance company or agency No
7A(13) Pension consultant No
7A(14) Real estate broker or dealer No
7A(15) Sponsor or syndicator of limited partnerships (or equivalent), excluding pooled investment vehicles No
7A(16) Sponsor, general partner, managing member (or equivalent) of pooled investment vehicles Yes
7B Are you an adviser to any private fund Yes
10Control Persons
10A Does any person not named in Item 1.A. or Schedules A, B, or C, directly or indirectly, control your management or policies No
11Disclosure Information
11 Do any of the events below involve you or any of your supervised persons No
11A(1) Been convicted of or plead guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to any felony No
11A(2) Been charged with any felony No
11B(1) Been convicted of or plead guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to a misdemeanor involving: investments or an investment-related business, or any fraud, false statements, or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, extortion, or a conspiracy to commit any of these offenses No
11B(2) Been charged with a misdemeanor listed in 11.B(1) No
11C(1) Found you or any advisory affiliate to have made a false statement or omission No
11C(2) Found you or any advisory affiliate to have been involved in a violation of SEC or CFTC regulations or statutes No
11C(3) Found you or any advisory affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted No
11C(4) Entered an order against you or any advisory affiliate in connection with investment-related activity No
11C(5) Imposed a civil money penalty on you or any advisory affiliate, or ordered you or any advisory affiliate to cease and desist from any activity No
11D(1) Ever found you or any advisory affiliate to have made a false statement or omission, or been dishonest, unfair, or unethical No
11D(2) Ever found you or any advisory affiliate to have been involved in a violation of investment-related regulations or statutes No
11D(3) Ever found you or any advisory affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted No
11D(4) In the past ten years, entered an order against you or any advisory affiliate in connection with an investment-related activity No
11D(5) Ever denied, suspended, or revoked your or any advisory affiliate's registration or license, or otherwise prevented you or any advisory affiliate, by order, from associating with an investment-related business or restricted your or any advisory affiliate's activity No
11E(1) Found you or any advisory affiliate to have made a false statement or omission No
11E(2) Found you or any advisory affiliate to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the SEC) No
11E(3) Found you or any advisory affiliate to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted No
11E(4) Disciplined you or any advisory affiliate by expelling or suspending you or the advisory affiliate from membership, barring or suspending you or the advisory affiliate from association with other members, or otherwise restricting your or the advisory affiliate's activities No
11F Has an authorization to act as an attorney, accountant, or federal contractor granted to you or any advisory affiliate ever been revoked or suspended No
11G Are you or any advisory affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of Item 11.C., 11.D., or 11.E No
11H(1)(a) The past ten years, enjoined you or any advisory affiliate in connection with any investment-related activity No
11H(1)(b) Ever found that you or any advisory affiliate were involved in a violation of investment-related statutes or regulations No
11H(1)(c) Ever dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or any advisory affiliate by a state or foreign financial regulatory authority No
11H(2) Are you or any advisory affiliate now the subject of any civil proceeding that could result in a "yes" answer to any part of Item 11.H(1) No

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