About Us

Numis has an experienced Investment Companies team of fifteen professionals providing a full range of services comprising research, sales, trading and corporate broking/finance.


Our research-driven approach focuses on investment companies with specialist or differentiated mandates, including quoted equity, private equity, hedge funds, property and other alternative assets. Our research (classified as marketing communications) includes a daily data sheet covering all UK-traded funds as well as regular fund-specific and broader-based research offering insight into individual companies and specific asset classes.  We also organise lunches, conferences and seminars for our clients. We have a well resourced Investment Companies research team, headed by Charles Cade who has over 16 years' experience in the sector, formerly at Winterflood, HSBC and Merrill Lynch. Property and Infrastructure funds are covered by Colette Ord, a senior analyst who has 10 years' experience as a Property and Property Funds' analyst at Numis.


We have a broad distribution capability, including private client stockbrokers, wealth managers, funds-of-funds, family offices and institutions.  Our specialist sales team leverages the relationships of Numis' institutional sales desk to provide a dedicated sales service focused on the UK and continental Europe. The sales team, headed by Chris Gook, has an average of 15 years' experience in the sector at firms including JPMorgan, Cazenove, LCF Rothschild, Winterflood and Merrill Lynch.

Market Making

We currently make markets in around 250 funds traded on the main market of the London Stock Exchange/AIM, including all funds in the FTSE 350 Index. Numis also offers an electronic dealing service which provides access to order flow from retail brokers. Price quotes for Emerging Market OTC and Country Funds are available on our Bloomberg page: "NUMI".


The Corporate team has experience of a full range of corporate finance transactions including primary and secondary fund raisings, with the ability to access the key institutional and wealth managnement markets in the UK.  The team seeks to provide commercial and proactive advice, and Numis currently acts as broker/adviser to 25 investment companies. David Benda and Nathan Brown (both previously at Winterflood and HSBC) lead the delivery of Numis Investment Companies’ corporate broking service. They work alongside specialist corporate financiers and are supported as required by Numis’ corporate finance/broking department (consisting of some 30 professionals) and investor relations team. Recent capital raisings by the Investment Companies team include £210m for Better Capital, $212m for CATCo Reinsurance Opportunities, £60m for JPMorgan Brazil and £90m for a secondary issue by International Public Partnerships.