Brooklands Fund Management: Empowering Managers with SEC Registration Since 2017
Since 2017, Brooklands Fund Management Limited has maintained registration with the U.S. Securities and Exchange Commission (SEC) as a Registered Investment Advisor (RIA). This milestone, achieved early in our firm’s evolution, was not merely a regulatory checkbox, it was a strategic decision to support our clients’ growth ambitions in the world’s largest capital market.
Over the past several years, Brooklands’ SEC registration has proven to be a critical to our clients, enabling access to U.S. capital and mandates from US institutional investors. Today, more than ever, this regulatory positioning is allowing our clients to seize opportunities in the rapidly expanding Segregated Managed Account (SMA) space.
Why the SEC Matters: Access to U.S. Capital and Mandates
For any non-U.S. manager looking to raise money in the U.S. or manage portfolios for U.S.-based investors, SEC registration is more than just a formality, it is a precondition for credibility and access. Large U.S. institutional allocators, including pension funds, endowments, foundations, and large family offices, increasingly require that external managers be registered RIAs before any serious engagement can begin.
By partnering with Brooklands, our clients benefit from immediate access to an SEC-registered platform, removing a common barrier to entry and enabling them to focus on investment and performance – rather than navigating months of regulatory application and onboarding.
The Rise of SMAs — A Structural Shift in Allocator Preference
In the current market environment, Segregated Managed Accounts (SMAs) have become the vehicle of choice for many institutional allocators. SMAs offer:
- Greater transparency into portfolio holdings and risk
- Tailored mandates aligned to specific investment criteria and constraints
- Enhanced control over liquidity, fees, and counterparties
- Operational simplicity for institutions consolidating reporting and oversight
The SMA also has benefits to investment professionals, particularly those launching their first product; launching with an SMA eliminates the need to set up a fund, avoiding substantial legal and operational costs, while still gaining institutional traction. It also reduces the operational burden, avoiding the need to appoint and manage the traditional fund counterparties (administrator, directors, auditors and registered office), manage corporate governance, fund audit and limits the reporting to the specified requirements of the investor.
However, the ability to manage an SMA for a U.S. investor requires an SEC registered RIA to act as the manager. In cases where an investment team operates under a hosted regulatory platform, that host must be an RIA. This is where Brooklands has played a crucial role for its clients.
Brooklands as a Gateway to SMA Mandates
Our early registration with the SEC has positioned Brooklands as a trusted and compliant regulatory host for managers who wish to build relationships with U.S. investors. Over the years, we have helped clients:
- Launch and operate SMA relationships with major U.S. institutions
- Secure mandates from large institutional US investors
- Respond to RFPs and DDQs requiring a U.S.-compliant framework
- Scale their strategies without needing to establish costly U.S. legal entities
In the past 12 months, Brooklands has launched four SMAs alongside our clients with combined assets from US institutional investors of over USD320 million.
Importantly, our platform approach enables managers to access these opportunities without delay, leveraging our existing infrastructure, policies, and personnel—while maintaining their strategic independence.
A Long-Term Commitment to Global Growth
Brooklands’ SEC registration reflects our broader philosophy; to anticipate client needs before they become market norms. As SMA structures continue to dominate allocator preferences, especially among institutional U.S. investors, our platform remains a powerful solution for managers determined to scale cross-border.
Whether you’re looking to raise capital in the U.S., manage institutional SMAs, or launch a strategy without the burden of building your own FCA and SEC regulated entity, Brooklands provides the framework, experience, and regulatory cover to help you get there.
