WELLINGTON-ALTUS USA INC.
Adviser information for WELLINGTON-ALTUS USA INC. last updated from Form ADV on March 1st, 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 | NOVEMBER |
| Legal Location | Canada |
Employees
| Total Number of Employees | 51 |
|---|---|
| Investment Advisory/Research | 48 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 5 |
| 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 | 192 | $84.1M |
| Non-Discretionary | 0 | $0 |
| Total | 192 | $84.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 110 | $26.5M |
| HNW Individuals | 28 | $57.6M |
| 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 | 0 | $0 |
| 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 | 23 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 84.4M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| WELLINGTON-ALTUS WRAP PROGRAM | WELLINGTON-ALTUS USA INC. |
Identifiers
| SEC RIA File Number | 801-113668 |
|---|---|
| SEC ERA File Number | 801-113668 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 297314 |
| Legal Entity Identifier | None |
Principal Office
201 PORTAGE AVENUE25TH FLOOR
WINNIPEG, MANITOBA
Canada
Monday - Friday, 8:00AM - 4:00PM
Tel: 888-315-8729, Fax: 204-289-2833
Chief Compliance Officer
KIMBERLY SHILTON
150 KING ST WEST
SUITE 1500
TORONTO, ONTARIO
Canada
Tel:
888-315-8729
K**********@******************A
(Full email address available in API data)
Regulatory Contact
FRANK LAFERRIERE
PRESIDENT
3455 NORTHSERVICE RD.
BURLINGTON,ON
Canada
Tel:
289-902-4072
F***************@******************A
(Full email address available in API data)
Industry Affiliates
| WELLINGTON-ALTUS PRIVATE COUNSEL | Other investment adviser, including financial planners |
| WELLINGTON-ALTUS PRIVATE WEALTH | 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 |
|---|---|---|---|---|---|
| WELLINGTON-ALTUS FINANCIAL INC. | Foreign Entity | – | SOLE SHAREHOLDER | 05/2018 | > 75% |
| Hauser, Shaun, Gregory | Individual | – | DIRECTOR | 12/2022 | < 5% |
| SHILTON, KIMBERLY, DIANE | Individual | – | CHIEF COMPLIANCE OFFICER | 05/2022 | < 5% |
| LAFERRIERE, FRANCIS, HENRY XAVIER | Individual | – | PRESIDENT, WAUSA, EXECUTIVE VICE PRESIDENT, DIGITAL STRATEGY & COMPLIANCE, WAFI | 07/2023 | < 5% |
| Stewner, Dennis | Individual | – | EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 03/2023 | < 5% |
| SPIRING, CHARLES, DOUGLAS | Individual | WELLINGTON-ALTUS FINANCIAL INC. | SHAREHOLDER | 10/2016 |