Why are claims being made against Facet Investment Management Ltd?
Claims may arise from:
- Mis-sold pension or investment advice
- Poor performance or mismanagement of discretionary investment portfolios
- Inappropriate risk profiling
- Failure to meet FCA standards and consumer duty obligations
- Losses connected to the firm’s insolvency
If you received advice or services from this firm or its appointed representatives, you may be eligible for compensation through the FSCS.
Trading Styles
| Name | Status | Date Range |
| Facet Investment Management Ltd | Registered | From 24 Apr 2019 |
| Financial Advisors to Consultants Engineers and Technologists Ltd | Registered | 5 Aug 1992 – 24 Apr 2019 |
| Graham Roberts Financial Management Ltd | Registered | 20 May 1990 – 5 Aug 1992 |
| Graham Roberts Life Ltd | Registered | 25 Mar 1988 – 20 May 1990 |
Background
- Incorporation Date: 18 July 1985
- FCA Authorisation Date: 1 December 2001
- Entered Administration: 23 August 2024
- FSCS Default Declaration: 15 July 2025
Who was involved?
The following is a list of individuals who are currently or were previously involved in regulated activities at Facet Investment Management Ltd, formerly Financial Advisors to Consultants Engineers and Technologists Ltd
Current
Previous
Appointed Representatives and Agents
| Appointed Representative | Relationship Dates |
| Current: | |
| Berkeley Financial Partners Ltd | From 13 Nov 2014 |
| Previous: | |
| AFM Management Ltd | 8 Sep 2015 – 25 Jun 2024 |
| Allonby + Partners Ltd | 28 Dec 2016 – 9 Sep 2020 |
If your financial product was arranged or advised on by one of these firms, you may still be able to make a claim.
How can we help?
We specialise in helping people claim compensation after financial advice has gone wrong. Whether you were mis-sold an investment, advised to transfer a pension, or had your money managed inappropriately, we’ll investigate your case and submit your claim to the FSCS on your behalf. We offer a free claim review so you only pay if we successfully recover compensation for you.
How does it work?
- Free consultation – we assess your case at no cost
- Investigation – we gather all relevant evidence and documentation
- Claim preparation – we build and submit your case to the FSCS
- Maximum compensation – we argue your case to ensure you receive everything you’re entitled to
Seek Claim Advice Today
Time limits may apply, so don’t delay. You may also be entitled to further compensation, even if you’ve claimed before.
Call 0800 041 8358 or Book a free phone or video consultation today
NB: Information for this page was gathered on 22 July 2025 from the FSCS website, FCA Register, and Companies House. All content is accurate to the best of our knowledge as of that date.
Company background (public record)
The company was incorporated at Companies House on 18 July 1985 under company number 01931757. Its status at Companies House is recorded as administration.
Registered office: 20 North Audley Street, Mayfair, London, W1K 6WE.
Previously named: FINANCIAL ADVISORS TO CONSULTANTS ENGINEERS AND TECHNOLOGISTS LIMITED; FINANCIAL ADVISERS TO CONSULTANTS ENGINEERS AND TECHNOLOGISTS LIMITED; GRAHAM ROBERTS FINANCIAL MANAGEMENT LIMITED; GRAHAM ROBERTS LIFE LIMITED.
Nature of business (SIC): 66220.
Company timeline (public record)
Key dated events for this firm, drawn from public records. Each entry shows its source.
| Date | Event | Source |
|---|---|---|
| 18 Jul 1985 | Company incorporated | Companies House |
| 21 May 1990 | Company renamed (previously GRAHAM ROBERTS LIFE LIMITED) | Companies House |
| 05 Aug 1992 | Company renamed (previously GRAHAM ROBERTS FINANCIAL MANAGEMENT LIMITED) | Companies House |
| 17 Nov 1992 | Carol Janet Dawson resigned as director | Companies House |
| 11 Nov 1993 | Heather Michelle Michaels resigned as secretary | Companies House |
| 25 Nov 1993 | Nicholas John French appointed director | Companies House |
| 01 Dec 1993 | Nicholas John French appointed secretary | Companies House |
| 01 Feb 1994 | Nicholas John French resigned as director | Companies House |
| 01 Mar 1995 | Nicholas John French appointed director | Companies House |
| 14 May 1997 | Nicholas John French resigned as secretary | Companies House |
| 14 May 1997 | Alexander David Young appointed secretary | Companies House |
| 14 May 1997 | Nicholas John French resigned as director | Companies House |
| 01 Dec 2001 | FCA status recorded as: Authorised | FCA Register |
| 09 Sep 2020 | Allonby + Partners Ltd ceased as appointed representative | FCA Register |
| 01 Feb 2021 | James Kenneth Millsom approved by the FCA at the firm | FCA Register |
| 23 Feb 2021 | Emilie Lee Morrow approved by the FCA at the firm | FCA Register |
| 03 Sep 2021 | Christian Holland resigned as director | Companies House |
| 22 Nov 2021 | Oliver Kevin Banks approved by the FCA at the firm | FCA Register |
| 30 Nov 2021 | James McMahon approved by the FCA at the firm | FCA Register |
| 04 May 2022 | Charles Alexander Mcswiggan approved by the FCA at the firm | FCA Register |
| 28 Mar 2024 | Christopher Alan Fernyhough resigned as director | Companies House |
| 05 Jun 2024 | Jaya Nayyar resigned as secretary | Companies House |
| 25 Jun 2024 | AFM MANAGEMENT LIMITED ceased as appointed representative | FCA Register |
| 23 Aug 2024 | Company entered administration (in administration) | Companies House |
| 24 Aug 2024 | John Richard Mitchell resigned as director | Companies House |
| 04 Sep 2024 | FSCS update: FSCS is now open to customer claims | FSCS |
| 22 Jan 2025 | FSCS update: We’ve completed our initial investigations into Facet and will shortly pass the claims we’ve received to one of our asse… | FSCS |
| 15 Jul 2025 | Declared in default by the FSCS | FSCS |
Focused on the firm’s early history and the events leading up to and following its failure. 35 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.
- Alexander David Young. Listed on the FCA Register as having held CPD14 – Managing investments (from), CPD12 – Personal recommendation/dealing in securities (not SHP/PPP/Broker funds) (from), [FCA CF] Functions requiring qualifications (from 31/12/2019), CPD4 – Personal recommendation on retail investments (not broker funds) (from) at the firm.
- John Richard Mitchell. Listed on the FCA Register as having held SMF17 Money Laundering Reporting Officer (MLRO) (09/12/2019 to 07/11/2024), SMF16 Compliance Oversight (09/12/2019 to 07/11/2024), SMF3 Executive Director (09/12/2019 to 07/11/2024), CF11 Money Laundering Reporting (03/11/2015 to 08/12/2019) at the firm.
- Christian Patrick Holland. Listed on the FCA Register as having held SMF3 Executive Director (09/12/2019 to 03/09/2021), CF30 Customer (01/09/2017 to 08/12/2019), CF1 Director (01/09/2017 to 08/12/2019) at the firm.
- James McGrath Dolan. Listed on the FCA Register as having held CF2 Non Executive Director (10/08/2018 to 04/03/2019), CF1 Director (AR) (24/04/2015 to 13/08/2018) at the firm.
- Thomas Anthony Austin. Listed on the FCA Register as having held CF30 Customer (08/11/2018 to 20/06/2024), CF1 Director (AR) (09/03/2020 to 20/06/2024), [FCA CF] Functions requiring qualifications (13/01/2022 to 20/06/2024) at the firm.
- Fraser Allonby. Listed on the FCA Register as having held CF30 Customer (05/01/2017 to 09/09/2020), CF1 Director (AR) (05/01/2017 to 09/09/2020) at the firm.
- Christopher Alan Fernyhough. Listed on the FCA Register as having held CF11 Money Laundering Reporting (16/05/2014 to 04/11/2015), CF10 Compliance Oversight (16/05/2014 to 04/11/2015), CF30 Customer (06/11/2013 to 08/12/2019), CF1 Director (15/01/2014 to 08/12/2019) at the firm.
- Robert William Barnett. Listed on the FCA Register as having held CF30 Customer (16/03/2015 to 24/10/2018) at the firm.
- Charles Alexander Mcswiggan. Listed on the FCA Register as having held [FCA CF] Functions requiring qualifications (04/05/2022 to 25/07/2024) at the firm.
- Gary Richardson. Listed on the FCA Register as having held [FCA CF] Functions requiring qualifications (09/12/2019 to 02/09/2021), CF30 Customer (01/11/2007 to 08/12/2019), CF1 Director (24/06/2014 to 26/09/2017), CF21 Investment Adviser (24/10/2006 to 31/10/2007) 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 |
|---|---|---|---|
| AFM MANAGEMENT LIMITED | FRN 625128 | 08/09/2015 | 25/06/2024 |
| Allonby + Partners Ltd | FRN 768229 | 28/12/2016 | 09/09/2020 |
| Berkeley Financial Partners Ltd | FRN 654149 | 13/11/2014 | Current |
Review page sources: FCA Register (FRN 131372) · Companies House (01931757) · FSCS. Public records, provided for transparency.
