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RATHBONES

LIVERPOOL, United Kingdom · CRD 124925 · IAPD ↗ · rathbones.com · +44-151 236 6666

$135.09BRegulatory AUM
725Advisory reps
1715Employees
615Clients
More than 500Planning clients
0Private funds
19States
1Disclosures
foreignSegment
ApprovedSEC status

Filing changes

25
August 2026 — RATHBONES's Item 11 disclosure-reporting entries rose by 1 (0 -> 1).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
45
April 2026 — RATHBONES reported RAUM up 102% ($67.01B -> $135.09B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
55
April 2026 — RATHBONES grew from 512 to 725 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
19
January 2026 — RATHBONES notice-filed in IL, LA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
17
April 2025 — RATHBONES notice-filed in MI.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
25
April 2025 — RATHBONES shrank from 528 to 512 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
25
April 2025 — RATHBONES added office(s): 15 -> 19 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
25
June 2024 — RATHBONES added office(s): 13 -> 15 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
55
April 2024 — RATHBONES grew from 447 to 528 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
25
February 2024 — RATHBONES added office(s): 13 -> 15 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.