DUBEAU CAPITAL USA INC.
Adviser information for DUBEAU CAPITAL USA INC. last updated from Form ADV on November 28th, 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 | 6 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 4 |
| 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 | 14 | $28.3M |
| Non-Discretionary | 0 | $0 |
| Total | 14 | $28.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 14 | $28.3M |
| 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 | 14 |
| 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 | 801-122016 |
|---|---|
| SEC ERA File Number | 801-122016 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 119222 |
| Legal Entity Identifier | None |
Principal Office
5700 BOULEVARD DES GALERIESSUITE 440
QUEBEC CITY, QUEBEC
Canada
Monday - Friday, 8:00 TO 17:00
Tel: 418-628-5533, Fax: 418-628-7844
Chief Compliance Officer
HUGUES DUBEAU
PRESIDENT, CFO, COO
440-5700 BOULEVARD DES GALERIES
QUEBEC CITY
Canada
Tel:
418-628-5533
H*******@*******************M
(Full email address available in API data)
Industry Affiliates
| DUBEAU CAPITAL & CO LTD | 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 |
|---|---|---|---|---|---|
| DUBEAU, HUGUES | Individual | – | PRESIDENT, CFO, COO, CCO | 01/2003 | < 5% |
| CAOUETTE, ERIC | Individual | – | VICE-PRESIDENT | 05/2001 | < 5% |
| DUCA INVESTISSEMENTS INC. | Foreign Entity | – | SHAREHOLDER, 100% OWNER | 09/2003 | > 75% |
| DUBEAU, STEPHANE | Individual | DUCA INVESTISSEMENTS INC. | SHAREHOLDER | 09/2003 | 25-50% |
| DUBEAU, HUGUES | Individual | DUCA INVESTISSEMENTS INC. | SHAREHOLDER | 09/2003 | 25-50% |
| CAOUETTE, ERIC | Individual | DUCA INVESTISSEMENTS INC. | SHAREHOLDER | 07/2013 | 25-50% |