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Rothschild & Co Merchant Banking

PRI reporting framework 2019

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Basic information

OO 01. Signatory category and services

01.1. Select the services and funds you offer

Select the services and funds you offer
% of asset under management (AUM) in ranges
Fund management
Fund of funds, manager of managers, sub-advised products
Other
Total 100%

Further options (may be selected in addition to the above)

01.2. Additional information. [Optional]

Five Arrows Managers is is the investment arm of the Rothschild & Co group and sits within the Rothschild Merchant Banking ("RMB") division. Five Arrows Managers manages a series of funds dedicated to corporate and secondary private equity, multi-managers funds as well as debt solutions:

  • Corporate private equity: Five Arrows Principal Investments ("FAPI") is a pan-European lower mid-market private equity specialist. FAPI comprises FAPI I, a €583m fund raised in 2010, FAPI II, a €781m fund raised in 2015, and FAPI III, a €1.25bn fund raised in 2019. In addition, Five Arrows Capital Partners ("FACP") is a U.S. mid-market private equity specialist. FACP comprises FACP I, a $655m fund raised in 2018.
  • Multi-strategies: Five Arrows Multi-Strategies (FAMS) is a specialist global private equity multi-strategy platform comprising:
    • Secondaries: Five Arrows Secondary Opportunities ("FASO") is a specialist in European small and mid-cap secondary transactions. FASO III is a €259m fund raised in 2012 and FASO IV, a €459m fund raised in 2016.
    • Multi-managers funds: Five Arrows Private Equity Programme ("FAPEP"), formerly known as Arolla, is a global multi-manager private equity platform which invests across the private equity asset class: primary fund investments, secondaries and direct co-investments. Arolla I is a €195m fund raised in 2017.
    • Co-investments: Five Arrows Minority Investments ("FAMI")is a global co-investment specialist.
  • Direct Lending: provides debt financing solutions to privately-owned businesses across the European middle-market through:
    • Five Arrows Credit Solutions ("FACS"): Junior debt opportunities in the European mid-cap segment. FACS I is a €415m fund raised in 2014.
    • Five Arrows Direct Lending ("FADL"): Senior-ranking direct lending to mid-market corporates. FADL is a €655m fund raised in 2018.
  • Credit Management: Rothschild & Co Credit Management (R&CO CM) is a senior leveraged loans and CLO specialist. R&CO CM manages €5.1bn through:
    • Oberon: European and US unlevered senior credit funds
    • Elsinore: European multi-strategy credit fund
    • Contego/Ocean Trails: European and US CLOs

OO 02. Headquarters and operational countries

02.1. Select the location of your organisation’s headquarters.

France

02.2. Indicate the number of countries in which you have offices (including your headquarters).

02.3. Indicate the approximate number of staff in your organisation in full-time equivalents (FTE).

150 FTE

02.4. Additional information. [Optional]

Only comprises Rothschild & Co 's Merchant Banking strategies which are UN PRI signatories, i.e.: FAPI, FACP, FASO, Arolla, FACS/FADL and R&CO CM employees based in Paris, London, Luxembourg, New York and Los Angeles.

OO 03. Subsidiaries that are separate PRI signatories

03.1. Indicate whether you have subsidiaries within your organisation that are also PRI signatories in their own right.

03.3. Additional information. [Optional]

Five Arrows Managers is 100% owned by the Rothschild & Co group.

Rothschild & Cie Gestion Group, Rothschild Wealth Management (UK) Limited, and Rothschild & Co Asset Management Europe are also signatories of the UN PRI.

OO 04. Reporting year and AUM

04.1. Indicate the year end date for your reporting year.

31/12/2018

04.2. Indicate your total AUM at the end of your reporting year.

Include the AUM of subsidiaries, but exclude advisory/execution only assets, and exclude the assets of your PRI signatory subsidiaries that you have chosen not to report on in OO 03.2
Total AUM
trillions billions millions thousands hundreds
Currency
Assets in USD
trillions billions millions thousands hundreds

04.4. Indicate the total assets at the end of your reporting year subject to an execution and/or advisory approach.

04.5. Additional information. [Optional]

Comprises AUM of FAPI I, FAPI II, FAPI III, FACP I, FASO III, FASO IV, FAPEP I, FAMI, FACS, FADL and R&CO CM.

 

OO 06. How would you like to disclose your asset class mix

06.1. Select how you would like to disclose your asset class mix.

Internally managed (%)
Externally managed (%)

 

Listed equity 0 0 0 0
Fixed income >50% 56 0 0
Private equity 10-50% 44 0 0
Property 0 0 0 0
Infrastructure 0 0 0 0
Commodities 0 0 0 0
Hedge funds 0 0 0 0
Fund of hedge funds 0 0 0 0
Forestry 0 0 0 0
Farmland 0 0 0 0
Inclusive finance 0 0 0 0
Cash 0 0 0 0
Money market instruments 0 0 0 0
Other (1), specify 0 0 0 0
Other (2), specify 0 0 0 0

06.2. Publish asset class mix as per attached image [Optional].

06.3. Indicate whether your organisation has any off-balance sheet assets [Optional].

06.5. Indicate whether your organisation uses fiduciary managers.

06.6. Provide contextual information on your AUM asset class split. [Optional]

Private Equity comprises: Corporate Private Equity (FAPI and FACP) and Multi-Strategies (FASO, FAPEP, and FAMI)

Fixed Income comprises: Direct Lending (FACS and FADL) and Credit Management (Oberon, Elsinore, and Contego/Ocean Trails)

OO 07. Fixed income AUM breakdown (Private)

OO 08. Segregated mandates or pooled funds (Not Applicable)

OO 09. Breakdown of AUM by market

09.1. Indicate the breakdown of your organisation’s AUM by market.

100 Developed Markets
0 Emerging Markets
0 Frontier Markets
0 Other Markets
Total 100% 100%

09.2. Additional information. [Optional]

Five Arrows Managers funds mainly focus on the European and U.S. mid-market segment.
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