NATWEALTH MANAGEMENT
NATWEALTH MANAGEMENT (USA) INC Legal Name
Adviser information for NATWEALTH MANAGEMENT last updated from Form ADV on January 30th, 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 | OCTOBER |
| Legal Location | Canada |
Employees
| Total Number of Employees | 136 |
|---|---|
| Investment Advisory/Research | 122 |
| Registered Broker-Dealer Representatives | 2 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 75 | $67.6M |
| Non-Discretionary | 0 | $0 |
| Total | 75 | $67.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 40 | $10.6M |
| HNW Individuals | 35 | $57.0M |
| Banking or thrift institutions | <5 | $0 |
| Investment companies | 20 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $0 |
| Charitable organizations | <5 | $0 |
| State or municipal gov entities | <5 | $0 |
| Other investment advisers | <5 | $0 |
| Insurance companies | <5 | $0 |
| Sovereign wealth funds and foreign official institutions | <5 | $0 |
| Corporations or other businesses | <5 | $0 |
| Other | <5 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 20 |
| No. of Non-U.S. Clients | 12 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesINSTITUTIONAL CLIENT RESEARCH SERVICES |
|---|---|
| Compensation | % of AUMPAYMENTS IN RESPECT OF RESEARCH SERVICES RECEIVED |
Identifiers
| SEC RIA File Number | 801-119519 |
|---|---|
| SEC ERA File Number | 801-119519 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 310098 |
| Legal Entity Identifier | None |
Principal Office
1155 METCALFE4TH FLOOR
MONTREAL
Canada
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 833-946-1589, Fax: None
Websites
Chief Compliance Officer
JEAN-FRAN�OIS CARON
800 ST-JACQUES
25TH FLOOR
MONTREAL
Canada
Tel:
514-879-5122
J******************@*****A
(Full email address available in API data)
Regulatory Contact
STEPHANE FONTAINE
800 ST-JACQUES
25TH FLOOR
MONTREAL
Canada
Tel:
514-390-4801
S****************@*****A
(Full email address available in API data)
Industry Affiliates
| NATCAN | Trust company |
| NATIONAL BANK FINANCIAL | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| NATIONAL BANK OF CANADA | Registered security-based swap dealerBanking or thrift institution |
| NATIONAL BANK TRUST | Trust company |
| NBF FINANCIAL SERVICES | Insurance company or agency |
| NBF FINANCIAL SERVICES | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| Lemay, Simon | Individual | – | SENIOR VICE PRESIDENT AND NATIONAL MANAGER | 05/2021 | < 5% |
| NATIONAL BANK ACQUISITION HOLDING INC. | Foreign Entity | – | DIRECT OWNER | 07/2020 | > 75% |
| NATIONAL BANK OF CANADA | Foreign Entity | NATIONAL BANK ACQUISITION HOLDING INC. | INDIRECT OWNER | 07/2020 | > 75% |
| Caron, Jean-Francois | Individual | – | CHIEF COMPLIANCE OFFICER | 07/2020 | < 5% |
| Durocher, Jonathan | Individual | – | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 07/2020 | < 5% |
| Dupont, Lise | Individual | – | CHIEF OPERATING OFFICER | 07/2020 | < 5% |
| Byette, Jean-Francois | Individual | – | DIRECTOR | 07/2020 | < 5% |
| Brind'Amour, Denis | Individual | – | CORPORATE SECRETARY | 07/2020 | < 5% |
| FONTAINE, STEPHANE | Individual | – | DIRECTOR | 02/2021 | < 5% |
| Boilard, Patrick | Individual | – | DIRECTOR | 08/2022 | < 5% |
| RENE, SEBASTIEN | Individual | – | CHIEF FINANCIAL OFFICER | 03/2023 | < 5% |