MANDEVILLE PRIVATE CLIENT USA INC.
Adviser information for MANDEVILLE PRIVATE CLIENT USA INC. last updated from Form ADV on October 27th, 2023. 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 | SEPTEMBER |
| Legal Location | Canada |
Employees
| Total Number of Employees | 15 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 5 |
| Registered State Investment Advisers | 0 |
| 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 | 16 | $4.5M |
| Non-Discretionary | 0 | $0 |
| Total | 16 | $4.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 10 | $4.5M |
| HNW Individuals | 0 | $0 |
| 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 | 99 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPublication of periodicals or newslettersEducational seminars/workshops |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-118335 |
|---|---|
| SEC ERA File Number | 801-118335 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 305945 |
| Legal Entity Identifier | None |
Principal Office
1375 KERNS ROADSUITE 200
BURLINGTON, ONTARIO
Canada
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 905-331-4255, Fax: None
Chief Compliance Officer
JANICE GOWAN
CHIEF COMPLIANCE OFFICER
1375 KERNS ROAD
SUITE 200
BURLINGTON, ONTARIO
Canada
Tel:
905-331-4255
J*****@****************M
(Full email address available in API data)
Regulatory Contact
BRIAN DRISCOLL
DIRECTOR, MANAGED & FEE-BASED ACCOUNTS
1375 KERNS ROAD
SUITE 200
BURLINGTON, ONTARIO
Canada
Tel:
905-331-4255
B********@****************M
(Full email address available in API data)
Industry Affiliates
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| ALMI INSURANCE BROKERS BARBADOS LIMITED | Insurance company or agency |
| BANCASSURANCE CARIBBEAN LIMITED | Insurance company or agency |
| BOOGAARD ASSURANTIEN BONAIRE BV | Insurance company or agency |
| BOOGAARD ASSURANTIEN NV | Insurance company or agency |
| CARIBBEAN INSURANCE BROKERS NV | Insurance company or agency |
| CARIBBEAN MEZZANINE FUND 1 LIMITED | Other investment adviser, including financial planners |
| CLARIEN BANK LIMITED | Banking or thrift institution |
| CLARIEN BROKERAGE LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| CLARIEN BSX SERVICES LTD. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| CLARIEN GROUP LIMITED | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| CLARIEN INVESTMENTS LIMITED | Other investment adviser, including financial planners |
| CLARIEN TRUST LIMITED | Trust company |
| DIAMOND FIRE & GENERAL INSURANCE INC. | Insurance company or agency |
| ELVIRA VERZEKERINGEN N.V. | Insurance company or agency |
| FATUM BROKERS HOLDING B.V. | Insurance company or agency |
| FATUM GENERAL INSURANCE ARUBA N.V. | Insurance company or agency |
| FATUM GENERAL INSURANCE NV | Insurance company or agency |
| FATUM HEALTH N.V. | Insurance company or agency |
| FATUM LIFE ARUBA N.V. | Insurance company or agency |
| FATUM LIFE N.V. | Insurance company or agency |
| FINANCIELE DIENSTVERLENING SNEL & PARTNERS B.V. RAALTE | Insurance company or agency |
| GLOBAL VOYAGER FUNDS LIMITED | Other investment adviser, including financial planners |
| GUARDIAN ASSET MANAGEMENT AND INVESTMENT SERVICES LIMITED | Other investment adviser, including financial planners |
| GUARDIAN GENERAL INSURANCE (OECS) LIMITED | Insurance company or agency |
| GUARDIAN GENERAL INSURANCE JAMAICA LIMITED | Insurance company or agency |
| GUARDIAN GENERAL INSURANCE LIMITED | Insurance company or agency |
| GUARDIAN GROUP NEDERLAND N.V. | Insurance company or agency |
| GUARDIAN GROUP TRUST LIMITED | Trust company |
| GUARDIAN HOLDINGS LIMITED | Sponsor, GP, manager of pooled investment vehicles |
| GUARDIAN INSURANCE LIMITED | Insurance company or agency |
| GUARDIAN LIFE (OECS) LIMITED | Insurance company or agency |
| GUARDIAN LIFE LIMITED | Insurance company or agency |
| GUARDIAN LIFE OF THE CARIBBEAN LIMITED | Insurance company or agency |
| GUARDIAN RE (S.A.C.) LIMITED | Insurance company or agency |
| JAGER ADVIESBURO BV | Insurance company or agency |
| KRUIT ASSURANTIEN B.V. | Insurance company or agency |
| KRUIT EN VENEMA ASSURANDEUREN B.V. | Insurance company or agency |
| MANDEVILLE INSURANCE SERVICES INC. | Insurance company or agency |
| MANDEVILLE PRIVATE CLIENT INC. F.K.A PORTLAND PRIVATE WEALTH SERVICES INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| NATIONAL COMMERCIAL BANK JAMAICA LIMITED | Banking or thrift institution |
| NCB (CAYMAN) LIMITED | Banking or thrift institution |
| NCB CAPITAL MARKETS (BARBADOS) LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| NCB CAPITAL MARKETS (CAYMAN) LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| NCB CAPITAL MARKETS (GUYANA) INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| NCB CAPITAL MARKETS LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| NCB CAPITAL MARKETS S.A. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| NCB FINANCIAL GROUP LIMITED | Sponsor, GP, manager of pooled investment vehicles |
| NCB INSURANCE AGENCY & FUND MANAGERS LIMITED | Insurance company or agencyPension consultant |
| NCB MERCHANT BANK (TRINIDAD & TOBAGO) LIMITED | Banking or thrift institutionTrust company |
| PORTLAND FUND II GP, INC. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PORTLAND FUND II GP, L.P. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PORTLAND GENERAL PARTNER (ALBERTA) INC. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PORTLAND GENERAL PARTNER (ONTARIO) INC. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PORTLAND GENERAL PARTNER (PE) INC. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PORTLAND INVESTMENT COUNSEL INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| PORTLAND JSX LIMITED | Sponsor, GP, manager of pooled investment vehicles |
| PORTLAND PRIVATE EQUITY II, LTD. | Other investment adviser, including financial planners |
| PORTLAND PRIVATE EQUITY, LP | Other investment adviser, including financial planners |
| PPEC, INC. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PUNTA BRAVO ONTWIKKELINGS & BEHEERSMAATSCHAPPIJ N.V. | Insurance company or agency |
| RAB ASSURANDEUREN B.V. RIJSEEN | Insurance company or agency |
| RISIKO ANALYSE BURO B.V. RIJSEEN | Insurance company or agency |
| ROYALSTAR HOLDINGS LIMITED | Insurance company or agency |
| SEGUROS BROUWER NV | Insurance company or agency |
| SEGUROS NORMAN MORAN NV | Insurance company or agency |
| THOMA ASSURANTIEADVISEURS BV LOCHEM | Insurance company or agency |
| THOMA PENSIOENADVISEURS BV LOCHEM | Pension consultant |
| VANGUARD RISK SOLUTIONS LIMITED | Insurance company or agency |
| WEST INDIES TRUST COMPANY LIMITED | Trust company |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| LEE-CHIN, MICHAEL, ANTHONY | Individual | – | CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 02/2020 | < 5% |
| MANDEVILLE HOLDINGS INC. | Foreign Entity | – | DIRECT OWNER | 09/2019 | > 75% |
| AIC LIMITED | Foreign Entity | MANDEVILLE HOLDINGS INC. | DIRECT OWNER | 10/2012 | > 75% |
| AIC GLOBAL HOLDINGS INC. | Foreign Entity | AIC LIMITED | DIRECT OWNER | 06/2009 | > 75% |
| PORTLAND HOLDINGS LIMITED | Foreign Entity | AIC GLOBAL HOLDINGS INC. | DIRECT OWNER | 06/2009 | > 75% |
| LEE-CHIN, MICHAEL, ANTHONY | Individual | PORTLAND HOLDINGS LIMITED | SHAREHOLDER | 06/2009 | > 75% |
| GOWAN, JANICE, LOUISE | Individual | – | CHIEF COMPLIANCE OFFICER | 06/2021 | < 5% |