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UK Equities Team

Tom Carroll

Tom Carroll

Founder and Director
Senior UK Fund Manager

Tom Carroll is a Founding Partner and a senior UK equity fund manager. Prior to co-founding FOUR, he was with Schroder Investment Management Limited since April 2000. He was a member of the Specialist UK Equity Team, running high performance mandates and was an Executive Director, with direct responsibility for managing over £2Billion in retail and Institutional assets. Previously, Tom was a UK equity fund manager at M&G, which he joined in 1993. While there, he was part of a small team which established and built a Pension Fund business catering for clients with high return expectations. Tom qualified as a Chartered Accountant with Coopers & Lybrand (now Price Waterhouse Coopers) in London. In his time there, he worked in Corporate Finance and the financial services division. Tom also has a Business Degree and is qualified as an associate of the UK Society of Investment Professionals.

Chris Rodgers

Chris Rodgers

Founder
Senior UK Fund Manager

Chris Rodgers is a Founding Partner and senior UK equity fund manager. Prior to co-founding FOUR, he was Head of the UK Equity team at HSBC Halbis Partners, the active management business of HSBC Investments. In this role he was responsible for the management of some £5 billion of UK equities. Prior to taking on this position in March 2003 Chris had been a Senior Fund Manager at Schroders, running several large institutional and retail funds. During over 20 years with them, Chris managed a wide range of different funds including both growth and income styles, and was involved in the asset allocation process for balanced funds. He was also a Director of the Schroders Exempt Property Unit Trust. Chris holds an MA in Human Sciences from Worcester College Oxford and is qualified as an associate of the UK Society of Investment Professionals.

Alex Schlich

Alex Schlich

Senior UK Fund Manager

Alex Schlich is a senior fund manager in the UK Equity team. Prior to joining FOUR, he was a Managing Director at Canaccord. He initially joined Collins Stewart in 2001 where he was responsible for the re-launch of the Quest model and website before he moved onto the Equity Sales desk in 2002. He worked as a specialist UK Equity Salesman until 2006 when he was made Head of Sales managing a team of 17 salesmen. In 2009 he was ranked No.3 in the Extel survey of UK Equity Sales professionals and he has been the top ranked salesman at Collins Stewart/Canaccord for the last 4 years. Alex started his career in the city in 1991 at Newton Investment Management. Alex has a BA in Business Studies from Sheffield University and an MBA from the Kellogg Graduate School of Management, Il, USA. He was an associate of the Institute of Investment Management and Research at the time of leaving Newton and is currently regulated by the Financial Conduct Authority.

Edward Williams

Edward Williams

Founder
Senior UK Fund Manager

Edward (“Ted”) Williams is a Founding Partner and senior UK equity fund manager. Prior to co-founding FOUR, he was a member of Schroder Investment Management Limited’s Specialist UK Equity Team since he joined them in 1996. He was an Executive Director and was responsible for the management of £2.5 billion in high performance mandates. Prior to this, he worked for Prudential Portfolio Managers, where he was a Director, from 1978 to 1996. Ted was a research analyst until 1981 when he became a UK equity fund manager for pension schemes and head of unit trusts in 1996. He was also responsible for the management of high performance mandates at this firm. He holds a BA in Economics from Essex University and is a member of the Securities & Investment Institute.

Mark Davies

Mark Davies

Assistant UK Fund Manager

Mark Davies is an Assistant Fund Manager. Prior to joining FOUR, he was with Schroder Investment Management Limited where he managed a team of Fund Manager Assistants for the UK Equity managers. Previously, Mark was a Business Analyst in New York for J.P.Morgan Chase & Co. Whilst there, he was part of a team who worked within the Treasury Services department. Mark also has a Mathematics Degree from the University of Sheffield and is a holder of the Investment Management Certificate.

Process

Sanlam FOUR operates a flexible and pragmatic infrastructure that guides what is ultimately a bottom up stock selection engine. The investment process is focussed on the holdings in our portfolios, ensuring that every company held is delivering as per the team's investment thesis. Sanlam FOUR is of course also continuously searching for new ideas for the portfolios.

UK Equities Process


Sanlam FOUR's investment team spends the majority of its time monitoring existing positions to ensure that it is fully informed and constantly alert to changes that might prompt a rethink of the investment thesis.

Risk management is an integral part of our approach. The compliance and investment functions receive daily positioning reports which give rise to alerts should guidelines be breached. In addition, the investment teams regularly review portfolios and quantitative risk analysis from Bloomberg PORT & Style Research. Finally, the risk committee issues a risk monitoring report once a month and discusses any relevant findings with the senior team members.

Funds

FOUR Active UK Equity Fund

This is a Fund targeting high alpha with a portfolio of 40 to 60 holdings. The Fund will invest across the market capitalisation spectrum and all holdings must have absolute upside potential. The Fund will be conscious of benchmark risk at the total portfolio level.

Sanlam FOUR Active UK Equity Fund (Class A) GBP
Sanlam FOUR Active UK Equity Fund (Class B) GBP
Sanlam FOUR Active UK Equity Fund (Class C) GBP
Sanlam FOUR Active UK Equity Fund (Class C) USD
Sanlam FOUR Active UK Equity Fund (Class D) GBP
Sanlam FOUR Active UK Equity Fund (Class I) GBP
Sanlam FOUR Active UK Equity Fund Quarterly Investment Report
Sanlam FOUR Active UK Class A KIID
Sanlam FOUR Active UK Class B KIID
Sanlam FOUR Active UK Class C GBP KIID
Sanlam FOUR Active UK - Class C USD KIID
Sanlam FOUR Active UK - Class D GBP KIID
Sanlam FOUR Active UK - Class I GBP KIID
Sanlam Universal Funds plc Prospectus
Sanlam FOUR Active UK Supplement

How to Invest

The following forms must be completed and faxed to Sanlam Universal Funds Plc, +353 1 241 7131:

Full instructions on how to complete the forms are included, however, please contact Sanlam Universal Funds +353 1 241 7130 for further assistance.

Please ensure you read the full prospectus prior to investing.

Sanlam Universal Funds plc Prospectus Download
Sanlam FOUR Active UK Supplement Download

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