K.J. HARRISON & PARTNERS (USA) INC.
Adviser information for K.J. HARRISON & PARTNERS (USA) INC. last updated from Form ADV on February 14th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Canada |
Employees
| Total Number of Employees | 9 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 6 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 4 | $16.1M |
| Non-Discretionary | 0 | $0 |
| Total | 4 | $16.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 3 | $14.0M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $2.1M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-107467 |
|---|---|
| SEC ERA File Number | 801-107467 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 282353 |
| Legal Entity Identifier | None |
Principal Office
60 BEDFORD ROADTORONTO, ON
Canada
Monday - Friday, 8:30 A.M. - 5:00 P.M.
Tel: 877-583-3320, Fax: 416-867-1470
Chief Compliance Officer
SINDY JAGGER
CPA-CGA
60 BEDFORD ROAD
TORONTO, ON
Canada
Tel:
877-583-3320
Fax:
416-867-1470
S*@*************M
(Full email address available in API data)
Industry Affiliates
| K.J. HARRISON & PARTNERS INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HARRISON & PARTNERS HOLDINGS INC. | Foreign Entity | – | CORPORATION | 12/2006 | > 75% |
| JAGGER, SINDY | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2016 | < 5% |
| CLARK, JOEL, ANDREW, BRUCE | Individual | – | CEO & PRESIDENT; DIRECTOR | 05/2017 | < 5% |
| Fulsang, Christine | Individual | – | CFO; DIRECTOR | 05/2017 | < 5% |
| Lieberman, Philip | Individual | – | DIRECTOR | 05/2017 | < 5% |
| Bull, Sarah | Individual | – | DIRECTOR | 05/2017 | < 5% |
| Barlas, Peter | Individual | – | DIRECTOR | 05/2017 | < 5% |