regulatory & compliance

WAAM secures industry best advisory practice by calling upon the services of leaders in their respective professional fields.


legal advisors

Fluxmans Attorneys
Werksmans Attorneys
Walkers Attorneys
Du Pont Partners

tax advisors

BDO South Africa Incorporated

compliance officer


fund administrators

Apex Fund and Corporate Services SA (Pty) Ltd
Stonehage Flemming Corporate Services Bellerive Trust Limited

prime broker



BDO South Africa Incorporated
Apex Partners
Bracken Rothwell


Apex Partners

regulatory & compliance

We value the reputation we have earned as a company that adheres to the highest ethical standards and governance best practice.

westbrooke alternative asset management proprietary limited

Westbrooke Alternative Asset Management is authorised and regulated in South Africa by the Financial Services Board (no. 46750) and is the holder of FAIS category 1, 2 and 2A licences. Westbrooke Alternative Asset Management is a member of the South African Venture Capital and Private Equity Association. Westbrooke Alternative Asset Management has sufficient professional indemnity cover as required by the Financial Advisory and Intermediary Services Act 37 of 2002.

westbrooke alternative asset management UK limited

Westbrooke Alternative Asset Management UK Limited (WAAM UK) (FRN 792259), is an Appointed Representative of Capricorn Capital Partners UK Limited, which is authorized and regulated by the Financial Conduct Authority (FCA) under Firm Reference No. 748414

united states tax residents

The information provided in this website does not constitute an offer for sale of any securities in the United States, or any state, territory, or possession thereof, or to any U.S. person. The securities which are described in this website have not, and will not, be registered under the U.S. Securities Act of 1933 and may not be offered or sold, directly or indirectly, in the United States or to U.S. persons unless the securities are registered under the Securities Act of 1933 or an exemption from registration is available.

section 12J

See below a list of our current S12J entities and their respective regulatory details. These entities are authorised to render investments of a discretionary nature, including investments governed by Section 12(J) of the South African Income Tax Act, 1962 (Act 58 of 1962). WAAM is appointed as the investment manager to render financial services in connection with the below S12J entities.

FSP name FSP number License
Westbrooke Alternative Asset Management (Investment Manager) FSP 46750 Cat 2A
Westbrooke Alternative Rental Income Assets Ltd FSP 45753 Cat 1
Westbrooke Capital Hospitality Ltd FSP 46462 Cat 1
Westbrooke Aria 2018 Ltd FSP 48672 Cat 1
Westbrooke Stac 2018 Ltd FSP 48756 Cat 1
Westbrooke Alto 2018 Ltd FSP 48805 Cat 1
Westbrooke Aria 2019 Ltd FSP 49642 Cat 1
Westbrooke Stac 2019 Ltd FSP 49640 Cat 1
Westbrooke Host 2019 Ltd FSP 49641 Cat 1
Westbrooke Aria Plus 2019 Ltd FSP 49644 Cat 1
Westbrooke Aria 2020 Ltd FSP 50271 Cat 1
Westbrooke Stac 2020 Ltd FSP 50224 Cat 1
Westbrooke Aria Plus 2020 Ltd FSP 50222 Cat 1
Westbrooke Aria 2022 FSP 50223 Cat 1
Westbrooke Stac 2021 (T/A Stac Preferred) Ltd FSP 50378 Cat 1
Westbrooke Aria 2021 Ltd FSP 50373 Cat 1


We value the reputation we have earned as a company that adheres to the highest ethical standards and best practice.

stay in the know

sign up for the latest westbrooke investment news & opportunities!