HARBOURFRONT WEALTH AMERICA INC.
Adviser information for HARBOURFRONT WEALTH AMERICA INC. last updated from Form ADV on March 8th, 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 | 15 |
|---|---|
| Investment Advisory/Research | 10 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 10 |
| 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 | 10 | $11.2M |
| Non-Discretionary | 4 | $938,247 |
| Total | 14 | $12.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 5 | $952,770 |
| HNW Individuals | <5 | $11.2M |
| 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 | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-118067 |
|---|---|
| SEC ERA File Number | 801-118067 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 306941 |
| Legal Entity Identifier | None |
Principal Office
ROYAL CENTRE 1800 1055 WEST GEORGIA STREETVANCOUVER
Canada
Monday - Friday, 8:00AM - 5:00PM
Tel: 877-588-6822, Fax: 604-558-6823
Websites
Chief Compliance Officer
CALDER ASHTON ELLIS
CHIEF COMPLIANCE OFFICER
ROYAL CENTRE 1800 1055 WEST GEORGIA STREET
VANCOUVER
Canada
Tel:
604-558-6816
C*****@*********************M
(Full email address available in API data)
Regulatory Contact
LYNN STIBBARD
CFO
ROYAL CENTRE 1800 1055 WEST GEORGIA STREET
VANCOUVER
Canada
Tel:
604-558-6822
L********@*********************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HARBOURFRONT WEALTH HOLDINGS INC | Foreign Entity | – | SHAREHOLDER | 11/2013 | > 75% |
| Stibbard, Lynn, Patricia | Individual | – | CHIEF FINANCIAL OFFICER | 01/2020 | < 5% |
| Ellis, Calder, Ashton | Individual | – | CHIEF COMPLIANCE OFFICER | 04/2022 | < 5% |
| Popescu, Daniel, Razvan | Individual | – | CHIEF EXECUTIVE OFFICER | 11/2019 | < 5% |
| AG HARBOURFRONT HOLDINGS, LP | Domestic Entity | HARBOURFRONT WEALTH HOLDINGS INC | SHAREHOLDER | 09/2022 | 50-75% |