Need help with a claim involving Ascot Lloyd

If you’re worried about losses from a transaction involving Ascot Lloyd and are considering compensation, our experts can help. We’ll review your case thoroughly to determine what happened, who’s responsible, and how much you could potentially recover.

Ascot Lloyd is a leading independent financial advice and wealth management firm based in the UK. Founded in 2004, the company has seen rapid growth through both organic expansion and the acquisition of smaller Independent Financial Adviser (IFA) firms. The firm provides a comprehensive suite of services including financial planning, wealth management, retirement and pension advice, protection planning, and corporate benefit solutions.

Ascot Lloyd recently set aside £76 million in order to cover potential redress for clients of their wealth management division who have been paying annual management fees but may not have received annual reviews from the Financial Adviser.

There are currently two active firms on the FCA register relating to Ascot Lloyd, Ascot Lloyd Ltd and Ascot Lloyd Investment Management Ltd. (ALIM)

For the purposes of helping clients seeking financial redress from Ascot Lloyd this page will be dedicated to ALIM as this is the firm which holds regulated permissions for Promoting, Arranging & Managing Pensions and Investments.

No win, no fee

If you don’t get paid, then you pay nothing. If you get paid, we take a pre-agreed percentage based on how much money you receive for your peace of mind.

Trading Styles

Name Sort by: Name descending	Type of name (Registered, Trading) Sort by: Type of name (Registered, Trading) descending	Effective from Sort by: Effective from descending
Ascot Lloyd Investment Management Limited	Registered	01 Jul 2025
Ascot Lloyd	Trading	31 Mar 2025

Name

Sort by: Name descending

Type of name (Registered, Trading)

Sort by: Type of name (Registered, Trading) descending

Effective from

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Ascot Lloyd Investment Management Limited

Registered

01 Jul 2025

Ascot Lloyd

Trading

31 Mar 2025

Why can you claim for compensation or redress against Ascot Lloyd

If you have been a financial advice client of Ascot Lloyd Investment Management Limited you may be eligible for financial redress if you were advised to transfer from existing pension or investments schemes to a new platform, or if you have not received annual reviews from your financial adviser.

Background

Companies House show the Company was incorporated on 31/08/2012 under company reference number 08197347.

According to the FCA Register the company has been authorised since 01/06/16 and has applied to cancel since 09/02/2015

This company is associated with claims for lack of ongoing servicing (Financial Adviser Fees).

Who was involved?

The following is a list of individuals who are currently or were previously involved in regulated activities at Ascot Lloyd.

Current


Mona Christensen	MXC00602	Approved by regulator	SMF3 Executive Director
Graham Bentley	GXB77729	Approved by regulator	SMF3 Executive Director
Paul Jason Roger Nathan	PJN01039	Approved by regulator	SMF9 Chair of the Governing Body
Francis Joseph Jackson	FJJ01006	Approved by regulator	SMF1 Chief Executive SMF3 Executive Director
Felice Kirsten Rea	FKR01004	Approved by regulator Certified / assessed by firm	[FCA CF] Manager of certification employee [FCA CF] Material risk taker SMF3 Executive Director
Amanda Jane Tovey	AJT01232	Approved by regulator Certified / assessed by firm	[FCA CF] Significant management [FCA CF] Functions requiring qualifications [FCA CF] Manager of certification employee [FCA CF] Material risk taker [FCA CF] Client dealing 14. Managing investments
Barry James Kane	BXK08640	Approved by regulator Certified / assessed by firm	SMF16 Compliance Oversight SMF17 Money Laundering Reporting Officer (MLRO)
David Morcher	DXM02986	Approved by regulator Certified / assessed by firm	[FCA CF] Significant management [FCA CF] Functions requiring qualifications [FCA CF] Material risk taker SMF3 Executive Director 14. Managing investments
Katrina Cockram	KXC00438	Certified / assessed by firm	[FCA CF] Significant management
Ann Marie Olden	AXO00370	Certified / assessed by firm	[FCA CF] Significant management
Barbara Botha	BXB00145	Certified / assessed by firm	[FCA CF] Significant management
Erika Coomer	EXC00144	Certified / assessed by firm	[FCA CF] Significant management
William Edward Hasted	WXH11154	Certified / assessed by firm	[FCA CF] Significant management [FCA CF] Material risk taker
Jay Dorrington	JXD00344	Certified / assessed by firm	[FCA CF] Significant management
Christopher Smith	CXS10304	Certified / assessed by firm	[FCA CF] Significant management [FCA CF] Functions requiring qualifications [FCA CF] Manager of certification employee [FCA CF] Material risk taker [FCA CF] Client dealing 14. Managing investments
James Hafetz Peer	JHP01093	Certified / assessed by firm	[FCA CF] Functions requiring qualifications [FCA CF] Client dealing 14. Managing investments
Shoaib Akhtar	SXA00374	Certified / assessed by firm	[FCA CF] Functions requiring qualifications 14. Managing investments


Graham Bentley	GXB77729	SMF9 Chair of the Governing Body
Christian John Burgess	CJB01498	SMF3 Executive Director
Nigel Geoffrey Stockton	NGS01040	CF1 Director CF10 Compliance Oversight CF11 Money Laundering Reporting SMF1 Chief Executive SMF3 Executive Director SMF16 Compliance Oversight SMF17 Money Laundering Reporting Officer (MLRO)
Jessica Anne Brescia	JAB01552	SMF3 Executive Director SMF16 Compliance Oversight SMF17 Money Laundering Reporting Officer (MLRO)
Claire Rebecca Armstrong	CRM01095	[FCA CF] Significant management
Dominic John Wynyard Rose	DJR01310	CF1 Director
Sarah Jane Houghton	SJH01449	[FCA CF] Significant management
Sally-Anne Davies	SXD00348	[FCA CF] Significant management
Mariana Kostadinova	MXK00535	[FCA CF] Functions requiring qualifications [FCA CF] Client dealing
Michael John Dodd	MXD00334	[FCA CF] Significant management
Emma Mitchinson	EXM00402	[FCA CF] Significant management
Kevin Hugh Ronaldson	KHR01004	CF1 Director CF3 Chief Executive CF10 Compliance Oversight CF11 Money Laundering Reporting
Rajinder Singh Hallen	RSH01044	CF30 Customer
Mario Adario	MXA01650	CF2 Non Executive Director
William Edward Hasted	WXH11154	CF30 Customer
Stephen Lennon	SXL01824	[FCA CF] Significant management [FCA CF] Functions requiring qualifications [FCA CF] Manager of certification employee [FCA CF] Material risk taker [FCA CF] Client dealing CF30 Customer
Steven Paul Lloyd	SPL01099	[FCA CF] Significant management [FCA CF] Functions requiring qualifications CF1 Director [FCA CF] Manager of certification employee [FCA CF] Material risk taker [FCA CF] Client dealing CF30 Customer SMF3 Executive Director
Jeffrey Nesanelis	JXN01337	[FCA CF] Significant management
Angela Berry	AXB00663	[FCA CF] Significant management
Alena Kosava	AXK00280	[FCA CF] Significant management
Mehrdad Yousefian	MXY00006	CF30 Customer
Jonathan James Whiticar	JJW01089	CF2 Non Executive Director
Matthew Charles Moore	MCM01123	CF1 Director
Dawn Pearce-Herzberg	DXP01881	CF1 Director

How does it work?

The first step is a free no-obligation consultation, you can learn more about services on our making a claim page.

Once we have assessed your claim, if we believe you are due compensation then we will help you build the best possible complaint by launching a full investigation, gathering evidenced from all the relevant parties to package your claim and submit to the Financial Services Compensation Scheme. We will argue your case to ensure you receive the maximum amount of compensation available to you.

Seek Claim Advice Today

We offer an expert pension consulting service. One of our experts will be able to talk through your options and tell you what the best option for you is. If you do decide to use our services, then know that our fees are very reasonable. However, you need to act fast as there may be time-barring restrictions in place.

Call us now for a phone or video consultation with one of our legal experts on 0800 041 8358 to find out if you are entitled to compensation, you may even be entitled to additional compensation if you have successfully claimed in the past.

Company background (public record)

The company was incorporated at Companies House on 30 March 2011 under company number 07584487. Its status at Companies House is recorded as active.

Registered office: 45 Church Street, Birmingham, B3 2RT, United Kingdom.

Previously named: CAPITAL PROFESSIONAL LIMITED.

Nature of business (SIC): 70221.

Company timeline (public record)

Key dated events for this firm, drawn from public records. Each entry shows its source.

Date	Event	Source
30 Mar 2011	Company incorporated	Companies House
30 Mar 2011	Shirley Gaik Heah Law appointed secretary	Companies House
30 Mar 2011	Gareth Rhys Williams appointed director	Companies House
23 Feb 2012	Shirley Gaik Heah Law resigned as secretary	Companies House
23 Feb 2012	Mario Adario appointed director	Companies House
23 Feb 2012	Justin Bickle appointed director	Companies House
23 Feb 2012	Eyal Malinger appointed director	Companies House
23 Feb 2012	Nigel Geoffrey Stockton appointed director	Companies House
23 Feb 2012	Grenville Turner appointed director	Companies House
23 Feb 2012	Gareth Rhys Williams resigned as director	Companies House
17 Aug 2012	Kevin Hugh Ronaldson appointed director	Companies House
17 Aug 2012	Jonathan James Whiticar appointed director	Companies House
01 Oct 2012	FCA status recorded as: Authorised	FCA Register
21 Mar 2013	Federico Alvarez Delmade appointed director	Companies House
21 Mar 2013	Eyal Malinger resigned as director	Companies House
25 Feb 2025	Company renamed (previously CAPITAL PROFESSIONAL LIMITED)	Companies House
31 Jul 2025	Christian John Burgess resigned as director	Companies House
29 Aug 2025	Gordon Kerr resigned as director	Companies House
30 Sep 2025	Eden Claire Scrivenger appointed director	Companies House
30 Sep 2025	Eden Scrivenger approved by the FCA at the firm	FCA Register
31 Oct 2025	Gary Stirrup resigned as director	Companies House
01 Jan 2026	Ben Waterhouse approved by the FCA at the firm	FCA Register
16 Jan 2026	Benjamin Peter Waterhouse appointed director	Companies House
31 Mar 2026	Christiaan Thomas Allen appointed director	Companies House
31 Mar 2026	Christiaan Thomas Allen approved by the FCA at the firm	FCA Register
02 Jun 2026	Kevin Sutton approved by the FCA at the firm	FCA Register
12 Jun 2026	Eva McDonald approved by the FCA at the firm	FCA Register
25 Jun 2026	Jo Livermore approved by the FCA at the firm	FCA Register

Focused on the firm’s early history and the events leading up to and following its failure. 41 routine entries from its active years are omitted.

Who was involved?

The following individuals are listed on public records in connection with the firm. These are matters of public record only and their inclusion does not imply any wrongdoing by any named person.

Mary Theresa O'Connor. Listed on the FCA Register as having held SMF11 Chair of the Audit Committee (from 14/11/2024) at the firm.
Eden Scrivenger. Listed on the FCA Register as having held SMF24 Chief Operations (from 30/09/2025), SMF3 Executive Director (from 30/09/2025) at the firm.
Jo Livermore. Listed on the FCA Register as having held SMF18 Other Overall Responsibility (from 25/06/2026) at the firm.
Christiaan Thomas Allen. Listed on the FCA Register as having held SMF3 Executive Director (from 31/03/2026), SMF2 Chief Finance (from 31/03/2026) at the firm.
Eva McDonald. Listed on the FCA Register as having held SMF4 Chief Risk (from 12/06/2026) at the firm.
Beverley Michael Covell. Listed on the FCA Register as having held SMF12 Chair of the Remuneration Committee (from 20/02/2022), SMF13 Chair of the Nominations Committee (20/02/2022 to 03/12/2024), CF2 Non Executive Director (26/11/2018 to 08/12/2019), SMF9 Chair of the Governing Body (09/12/2019 to 11/08/2021) at the firm.
Francis Joseph Jackson. Listed on the FCA Register as having held Responsibility for MCD Intermediation (from 06/10/2025), Responsible for Insurance Distribution (from 08/10/2025), SMF9 Chair of the Governing Body (from 08/11/2024), SMF3 Executive Director (from 08/11/2024) at the firm.
Ben Waterhouse. Listed on the FCA Register as having held Responsibility for MCD Intermediation (from 01/01/2026), Responsible for Insurance Distribution (from 01/01/2026), SMF3 Executive Director (from 01/01/2026) at the firm.
Simon Vella. Listed on the FCA Register as having held SMF3 Executive Director (from 11/11/2024), Responsibility for MCD Intermediation (11/11/2024 to 06/10/2025), SMF18 Other Overall Responsibility (26/10/2022 to 24/04/2025) at the firm.
Felice Kirsten Rea. Listed on the FCA Register as having held SMF10 Chair of the Risk Committee (from 13/02/2026), SMF3 Executive Director (from 23/03/2020), SMF2 Chief Finance (18/01/2022 to 04/07/2023) at the firm.

Appointed Representatives and Agents

While it was authorised, the firm acted as principal for the following appointed representatives. An appointed representative carries on regulated business under the responsibility of its principal, so their conduct can be relevant to a claim.

Appointed representative	Reference	Effective from	Ended
Calculis Financial Planning Limited	FRN 920209	01/04/2020	05/05/2020
Fitzrovia Financial Services Limited	FRN 196973	05/06/2019	30/11/2022

Review page sources: FCA Register (FRN 578614) · Companies House (07584487). Public records, provided for transparency.

When it comes to Claims,
we won’t waste your time or ours.

This is why we have a 82%* success rate on submitted claims in similar circumstances to Ascot Lloyd

*82% success rate is an accurate figure based on pension and investment related claims submitted and concluded between 1st December 2020 to 1st August 2024.

Latest FSCS Update

Our team is currently working to obtain the latest update on this company. Please check back later for further information.

If you believe you may have been affected, please book a free consultation with our team. We will carry out all the investigative work on your behalf. If your claim is not successful, you will not pay a penny. You can call us during office hours or email hello@claimmyloss.co.uk – we are here to help.