COUGAR GLOBAL INVESTMENTS
COUGAR GLOBAL INVESTMENTS LIMITED Legal Name
Adviser information for COUGAR GLOBAL INVESTMENTS last updated from Form ADV on December 8th, 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 | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 2 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1 | $99,289 |
| Non-Discretionary | 9,109 | $1.4B |
| Total | 9,110 | $1.4B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $99,289 |
| 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 | 9,109 | $1.4B |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUM |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 1.4B |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| FD MODEL EXCHANGE | FOLIO DX |
| MODEL WEALTH PORTFOLIOS | LPL |
| STRATEGIST PROGRAM | ORION PORTFOLIO SOLUTIONS |
| CASTLEVIEW PARTNERS | CASTLEVIEW |
| PARTNERS PROGRAM | RAYMOND JAMES LIMITED |
| 3RD PARTY MODELS / FUND STRATEGIST PORTFOLIOS | ENVESTNET |
| RAYMOND JAMES CONSULTING SERVICES | RAYMOND JAMES |
| LOCKWOOD SPONSORED PROGRAMS | LOCKWOOD |
| RAYMOND JAMES INVESTMENT COUNSEL | RAYMOND JAMES INVESTMENT COUNSEL |
Identifiers
| SEC RIA File Number | 801-55379 |
|---|---|
| SEC ERA File Number | 801-55379 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 109439 |
| Legal Entity Identifier | N/A |
Principal Office
200 KING STREET WESTSUITE 1901
TORONTO
Canada
Monday - Friday, 8:45 A.M.- 4:45 P.M.
Tel: 416-368-5255, Fax: 416-368-7738
Chief Compliance Officer
DAMIAN SOUSA
CCO
880 CARILLON PKWY
ST PETERSBURG
FL
United States
Tel:
727 567-4656
Fax:
727 567-8285
D***********@***************M
(Full email address available in API data)
Regulatory Contact
JAVIER ALVAREZ
VP COMPLIANCE
880 CARILLON PKWY
ST PETERSBURG
FL
United States
Tel:
727 567-4656
J*************@***************M
(Full email address available in API data)
Industry Affiliates
| CARILLON FUND DISTRIBUTORS, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| CARILLON TOWER ADVIORS INC | Other investment adviser, including financial planners |
| CEBILE CAPITAL | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| CHARTWELL INVESTMENT PARTNERS, LLC | Other investment adviser, including financial planners |
| CLARIVEST ASSET MANAGEMENT LLC | Other investment adviser, including financial planners |
| EAGLE ASSET MANAGMENT INC | Other investment adviser, including financial planners |
| EB MANAGEMENT I LLC | Other investment adviser, including financial planners |
| MK INVESTMENT MANAGEMENT INC. | Sponsor, GP, manager of pooled investment vehicles |
| RAYMON JAMES INVESTMENT SERVICES LIMITED - UK | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| RAYMOND JAMES (USA) LTD | Other investment adviser, including financial planners |
| RAYMOND JAMES & ASSOCIATES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersSponsor or syndicator of limited partnershipsSponsor, GP, manager of pooled investment vehicles |
| RAYMOND JAMES ASSET MANAGEMENT INTL. - FRANCE | Other investment adviser, including financial planners |
| RAYMOND JAMES BANK | Banking or thrift institution |
| RAYMOND JAMES EURO EQUITIES SAS | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| RAYMOND JAMES FINANCIAL PLANNING LTD | Insurance company or agency |
| RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | Other investment adviser, including financial planners |
| RAYMOND JAMES FINANCIAL SERVICES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| RAYMOND JAMES INSURANCE GROUP, INC. | Insurance company or agency |
| RAYMOND JAMES INVESTMENT COUNSEL LTD. | Other investment adviser, including financial planners |
| RAYMOND JAMES LIMITED CANADA | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| RAYMOND JAMES TAX CREDIT FUNDS, INC. | Sponsor, GP, manager of pooled investment vehicles |
| RAYMOND JAMES TRUST N.A. | Trust company |
| RJ TRUST CANADA | Trust company |
| SCOUT INVESTMENTS, INC. | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ALLISON, PAUL, DIXON | Individual | – | DIRECTOR | 04/2015 | < 5% |
| RAYMOND JAMES INTERNATIONAL HOLDINGS CANADA | Domestic Entity | – | SHAREHOLDER | 04/2015 | > 75% |
| RAYMOND JAMES FINANCIAL INC | Domestic Entity | RAYMOND JAMES INTERNATIONAL HOLDINGS | SHAREHOLDER | 04/2015 | > 75% |
| RAYMOND JAMES INTERNATIONAL HOLDINGS | Domestic Entity | RAYMOND JAMES INTERNATIONAL HOLDINGS CANADA | SHAREHOLDER | 04/2015 | > 75% |
| JOHNSON, MATTHEW, SCOTT | Individual | – | DIRECTOR | 10/2019 | < 5% |
| RICK IV, EDWARD | Individual | – | DIRECTOR | 06/2021 | < 5% |
| SOUSA, DAMIAN, DANIEL | Individual | – | CHIEF COMPLIANCE OFFICER | 05/2022 | < 5% |