AUGUST CAPITAL
THE AUGUST GROUP CAPITAL LIMITED Legal Name
Adviser information for AUGUST CAPITAL last updated from Form ADV on March 20th, 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 | 16 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 6 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 290 | $490.5M |
| Non-Discretionary | 40 | $25.4M |
| Total | 330 | $515.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | <5 | $0 |
| HNW Individuals | 27 | $82.5M |
| Banking or thrift institutions | <5 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $0 |
| Charitable organizations | <5 | $13.1M |
| 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 | 20 | $420.4M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 58 |
| No. of Financial Planning Clients | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMPERCENTAGE OF NET WORTH |
Identifiers
| SEC RIA File Number | 801-120147 |
|---|---|
| SEC ERA File Number | 801-120147 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 311499 |
| Legal Entity Identifier | None |
Principal Office
111 PETER STREETSUITE 700
TORONTO
Canada
Monday - Friday, 8AM TO 5PM
Tel: 438-792-5161, Fax: None
Chief Compliance Officer
ANDREW LEIGH
111 PETER STREET
SUITE 700
TORONTO
Canada
Tel:
438-792-5161
A*****@**************M
(Full email address available in API data)
Regulatory Contact
PATRICK GUEST
CIO AND CO-CEO
5910 CHEMIN DE LA COTE DE LIESSE
MONT ROYAL
Canada
Tel:
514-967-7994
P******@**************M
(Full email address available in API data)
Industry Affiliates
| AUGUST LEGACY | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| Guest, Patrick, Olivier | Individual | – | CHIEF INVESTMENT OFFICER AND CO-CEO | 12/2020 | < 5% |
| Hill, Brandon, Douglas | Individual | – | CO-CEO AND COO | 10/2021 | < 5% |
| Saputo, Lino, Anthony | Individual | QUADRIAM INVESTMENTS INC. | OWNER | 11/2008 | 25-50% |
| Violo, Amelia | Individual | QUADRIAM INVESTMENTS INC. | OWNER | 11/2008 | 25-50% |
| THE AUGUST GROUP LIMITED | Foreign Entity | – | OWNER | 05/2020 | 50-75% |
| QUADRIAM INVESTMENTS INC. | Foreign Entity | THE AUGUST GROUP LIMITED | OWNER | 05/2020 | 50-75% |
| 9436-4072 QUEBEC INC. | Foreign Entity | – | OWNER | 03/2021 | 10-25% |
| SHANNON FAMILY TRUST | Foreign Entity | 9436-4072 QUEBEC INC. | OWNER | 02/2021 | 25-50% |
| Shannon, Matthew, Woeller John | Individual | SHANNON FAMILY TRUST | TRUSTEE | 02/2021 | 25-50% |
| Leigh, Andrew, George Leonard | Individual | – | CHIEF COMPLIANCE OFFICER | 08/2021 | < 5% |
| Shannon, Matthew, Woeller John | Individual | – | PRESIDENT | 05/2020 | < 5% |
| Warren, James, Walter | Individual | – | CHIEF FINANCIAL OFFICER | 03/2024 | < 5% |