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Notion Capital: investment adviser
Notion Capital Managers LLP, doing business as Notion Capital, is an investment adviser registered with the SEC (file 802-117151, CRD 301084). What it reports on Form ADV: assets and clients, fees, owners, disciplinary history and its client brochure. From the SEC's Investment Adviser Public Disclosure site; read Oct 21, 2026.
- Assets managed
- –
- Discretionary
- –
- Accounts
- –
- Employees
- –
- In advisory roles
- –
- Disclosures
- 1
SEC adviser record · Full Form ADV (PDF)
The firm reports no custody of client cash or securities.
Form ADV Part 1A, Item 5, as filed on the SEC Investment Adviser Public Disclosure site; read Oct 21, 2026.
Who owns it
Schedule A lists direct owners of 5% or more (and officers who own a stake); Schedule B lists the owners of those owners.
Direct owners (Schedule A)
| Owner | Type | Role | Stake | Since | Control | Public company |
|---|---|---|---|---|---|---|
| Stephen Charles Chandler | Person | Member | C 25% to 50% | May 2011 | Yes | |
| Ian Leathley Milbourn | Person | Member | B 10% to 25% | May 2011 | Yes | |
| Christopher Edward Tottman | Person | Member | B 10% to 25% | May 2011 | Yes | |
| Jocelyn Christoper White | Person | Member | B 10% to 25% | May 2011 | Yes | |
| William Patrick Gareth Norris | Person | Member | A 5% to 10% | Sep 2019 | Yes |
Form ADV reports ownership in bands, not exact stakes: A means 5% to 10%, B 10% to 25%, C 25% to 50%, D 50% to 75%, E 75% or more. F marks a general partner, trustee or managing member, a role that controls the firm without a percentage. Owners of less than 5% are not listed.
Form ADV Schedules A and B, via the SEC Investment Adviser Public Disclosure site.
Disciplinary history
What the firm disclosed under Item 11 of Form ADV. A disclosure is the firm's own report: pending matters are allegations, not findings, and many settlements are made without admitting or denying them. Text is quoted from the filing, set in sentence case.
Item 11 questions answered Yes
These questions cover the firm and its advisory affiliates.
- Has any other federal regulatory agency, any state regulatory agency, or any foreign financial regulatory authority: ever found you or any advisory affiliate to have been involved in a violation of investment-related regulations or statutes?
- Has any other federal regulatory agency, any state regulatory agency, or any foreign financial regulatory authority: 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?
- Has any other federal regulatory agency, any state regulatory agency, or any foreign financial regulatory authority: 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?
Actions about the firm (1)
- Dec 18, 2017Regulatory Action: Financial Conduct Authority 12 Endeavour Square, London, E20 1JN. FinalSanctions: Revocation · Begun Jan 20, 2017 · Resolved Dec 18, 2017 · Decision · Docket FRN REFERENCE NUMBER: 565008)
Notion Capital Managers LLP had its licence revoked after it failed to file certain financial returns with its regulator. Changes of office meant that reminders did not reach the firm. On 18TH December 2017 the firm was re authorised by the FCA.
Following the revocation of our licence in January 2017 the FCA agreed to re authorise Notion Capital Managers LLP No information Filed
Form ADV Item 11 and its Disclosure Reporting Pages, via the SEC record. All adviser disciplinary records.
The brochure
No brochure text was read for this firm.
Form ADV Part 2A, via the SEC Investment Adviser Public Disclosure site.