BRENDAN WOOD TOPGUN PARTNERSHIPS INC.
Adviser information for BRENDAN WOOD TOPGUN PARTNERSHIPS INC. last updated from Form ADV on January 19th, 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 | 10 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| 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 | 0 | $0 |
| Non-Discretionary | 1 | $3.6M |
| Total | 1 | $3.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $3.6M |
| 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 investment companies |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-128633 |
|---|---|
| SEC ERA File Number | 801-128633 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 327874 |
| Legal Entity Identifier | None |
Principal Office
15 PRINCE ARTHUR AVENUETORONTO
Canada
Monday - Friday, 9AM - 5 PM ET
Tel: 416-924-8110, Fax: None
Chief Compliance Officer
RICHARD L. CHEN
CONSULTANT
909 THIRD AVENUE #8236
NEW YORK
NY
United States
Tel:
917-773-8326
R***@*********************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 |
|---|---|---|---|---|---|
| 15 PRINCE ARTHUR CORPORATION | Foreign Entity | – | SHAREHOLDER | 08/2020 | > 75% |
| Wood, Brendan, Derry | Individual | 15 PRINCE ARTHUR CORPORATION | CHAIRMAN AND CEO | 08/2020 | |
| Wood, Brendan, Derry | Individual | – | CHIEF EXECUTIVE OFFICER & CHIEF INVESTMENT OFFICER | 07/2023 | < 5% |
| Novak, Jordan, Michael | Individual | – | CHIEF OPERATING OFFICER & CHIEF FINANCIAL OFFICER | 08/2020 | < 5% |
| Chen, Richard, Leeway | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2024 | < 5% |