Hedge Fund Database

GUARDIAN CAPITAL LP

Adviser information for GUARDIAN CAPITAL LP last updated from Form ADV on March 28th, 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 Limited Partnership
Fiscal Year End DECEMBER
Legal Location Canada

Employees

Total Number of Employees 75
Investment Advisory/Research 33
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 211 $11.6B
Non-Discretionary 0 $0
Total 211 $11.6B

Clients

Type Number RAUM
Individuals <5 $0
HNW Individuals <5 $0
Banking or thrift institutions <5 $0
Investment companies 2 $109.9M
Business development companies 0 $0
Pooled investment vehicles 4 $3.3B
Pension and profit sharing plans 22 $1.3B
Charitable organizations 11 $79.1M
State or municipal gov entities 7 $1.8B
Other investment advisers 13 $4.0B
Insurance companies 7 $363.8M
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 7 $585.6M
Other 5 $99.6M
Type Number
No. of Non-RAUM Clients 20
No. of Non-U.S. Clients 98

Services

Advisory Services Portfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)
Compensation % of AUMPerformance-based fees

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 0
Portfolio Manager 7.7M
Both for Same 0
Portfolio Manager to Program Sponsor
IPC ONE PROGRAM INVESTMENT PLANNING COUNSEL
CRESCENT SEPARATELY MANAGED ACCOUNT PLATFORM WELLINGTON-ALTUS PRIVATE WEALTH INC.
VINTAGE PROGRAM INDUSTRIAL ALLIANCE SECURITIES INC.
HAYWOOD SEPARATELY MANAGED ACCOUNT PLATFORM HAYWOOD SECURITIES INC.
CQSI PROGRAM AVISO WEALTH INC.
SCOTIAMCLEOD PINNACLE PROGRAM SCOTIAMCLEOD INC.
RAYMOND JAMES PARTNERS PROGRAM RAYMOND JAMES LTD.
CIBC WOOD GUNDY INVESTMENT CONSULTING SERVICE CIBC ASSET MANAGEMENT INC.
RICHARDSON WEALTH MANAGED PORTFOLIOS RICHARDSON WEALTH LIMITED
TD PREMIER MANAGED PORTFOLIOS TD ASSET MANAGEMENT
INVESTMENT COUNSELING PROGRAM CANNACORD CAPITAL CORPORATION
TRANSCEND MANAGED ACCOUNTS PROGRAM PROVISUS WEALTH MANAGEMENT LIMITED
CATALYST PROGRAM NATIONAL BANK INDEPENDENT NETWORK
BMO NESBITT BURNS ARCHITECT PROGRAM BMO NESBITT BURNS INC.
WORLDSOURCE SMA PLATFORM WORLDSOURCE SECURITIES INC.
SCOTIAMCLEOD SUMMIT PROGRAM SCOTIAMCLEOD INC.
RBC DOMINION A+ PROGRAM RBC DOMINION SECURITIES INC.
AMBASSADOR PORTFOLIO SERVICE NATIONAL BANK FINANCIAL
RAYMOND JAMES OUTSIDE MANAGER PROGRAM RAYMOND JAMES & ASSOCIATES, INC.
ECHELON WEALTH PARTNERS SEPARATELY MANAGED ACCOUNTS ECHELON WEALTH PARTNERS
MASTERS PROGRAM MANULIFE SECURITIES INCORPORATED
ALIGNED ONE PROGRAM ALIGNED CAPITAL PARTNERS

Identifiers

SEC RIA File Number 801-56081
SEC ERA File Number 801-56081
SEC CIK Numbers 1224324
SEC CRD Numbers 105078
Legal Entity Identifier 549300F70RYK3Z5ZPU58

Principal Office

COMMERCE CT W, SUITE 2700
199 BAY STREET
TORONTO, ONTARIO
Canada
Monday - Friday, 8:30 AM-5:00 PM
Tel: 416-364-8341, Fax: None

Websites

www.guardiancapital.com www.guardiancapitalfunds.com www.gemportfolios.com www.guardiancapital.com/investmentsolutions

Chief Compliance Officer

RICHARD D. BRITNELL
CHIEF COMPLIANCE OFFICER
COMMERCE COURT WEST
SUITE 2700, 199 BAY STREET
TORONTO, ONTARIO
Canada
Tel: 416-350-3117
(Full email address available in API data)

Regulatory Contact

GAYLE RADCLIFFE
DIRECTOR, COMPLIANCE
COMMERCE COURT WEST
SUITE 2700, 199 BAY STREET
TORONTO, ONTARIO
Canada
Tel: 416-947-3712
(Full email address available in API data)

Industry Affiliates

AGINCOURT CAPITAL MANAGEMENT, LLC Other investment adviser, including financial planners
ALEXANDRIA BANCORP LIMITED Banking or thrift institution
ALEXANDRIA GLOBAL INVESTMENT MANAGEMENT LTD. Other investment adviser, including financial planners
ALTA CAPITAL MANAGEMENT LLC Other investment adviser, including financial planners
GUARDCAP ASSET MANAGEMENT LIMITED Other investment adviser, including financial planners
GUARDIAN CAPITAL ADVISORS LP Other investment adviser, including financial planners
GUARDIAN CAPITAL REAL ESTATE GP INC. Sponsor, GP, manager of pooled investment vehicles
GUARDIAN PARTNERS INC. Other investment adviser, including financial planners
MODERN ADVISOR CANADA INC. Other investment adviser, including financial planners
THE RAELIPSKIE PARTNERSHIP 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
TURNER, MATTHEW, DEAN Individual – DIRECTOR, GENERAL COUNSEL & SECRETARY 05/2023 < 5%
MAVROUDIS, GEORGE Individual – DIRECTOR, CHIEF EXECUTIVE OFFICER 04/2008 < 5%
GUARDIAN CAPITAL INC. Foreign Entity – GENERAL PARTNER 12/2003 < 5%
YI, DONALD Individual – DIRECTOR, CHIEF FINANCIAL OFFICER 03/2014 < 5%
GUARDIAN CAPITAL GROUP LIMITED Foreign Entity – DIRECT OWNER 01/2004 > 75%
MINIC INVESTMENTS LIMITED Foreign Entity GUARDIAN CAPITAL GROUP LIMITED SHAREHOLDER 01/2004 25-50%
THE CHRISTODOULOU 2004 FAMILY TRUST Foreign Entity MINIC INVESTMENTS LIMITED SHAREHOLDER 01/2004 > 75%
CIDEL TRUST COMPANY Foreign Entity THE CHRISTODOULOU 2004 FAMILY TRUST TRUSTEE 01/2004
BRITNELL, RICHARD, DAVID Individual – CHIEF COMPLIANCE OFFICER 05/2023 < 5%

No. Employees, Historic

8040020202021202220232024202560 on 3/30/202060 on 5/29/202060 on 5/29/202069 on 3/31/202178 on 3/31/202271 on 3/31/202371 on 6/26/202375 on 3/28/2024

RAUM, Historic

20B10B020202021202220232024202515087330985 on 3/30/202012428958648 on 5/29/202012428958648 on 5/29/202013268696774 on 3/31/202115652448560 on 3/31/202211646070728 on 3/31/202311646070728 on 6/26/202311647004242 on 3/28/2024

No. Clients, Historic

9045020202021202220232024202584 on 3/30/202090 on 5/29/202090 on 5/29/202090 on 3/31/202189 on 3/31/202284 on 3/31/202384 on 6/26/202378 on 3/28/2024

Holdings

From latest 13F, filed August 13th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ABBVIE INC COM 13M 74K –
ACCENTURE PLC IRELAND SHS CLASS A 29M 94K –
ACCENTURE PLC IRELAND SHS CLASS A 225K 52 –
ADOBE INC COM 734K 1K –
AFLAC INC COM 2M 26K –
AGILENT TECHNOLOGIES INC COM 754K 6K –
AGNICO EAGLE MINES LTD COM 91M 1M –
AIR PRODS & CHEMS INC COM 12M 47K –
ALGONQUIN PWR UTILS CORP COM 492K 84K –
ALPHABET INC CAP STK CL A 29M 159K –
ALPHABET INC CAP STK CL C 4M 22K –
AMAZON COM INC COM 4M 23K –
AMERICAN EXPRESS CO COM 2M 10K –
AMGEN INC COM 7M 23K –
APPLE INC COM 51M 240K –
ARM HOLDINGS PLC SPONSORED ADS 3M 17K –
ASML HOLDING N V N Y REGISTRY SHS 34M 33K –
ASTRAZENECA PLC SPONSORED ADR 4M 56K –
AUTOMATIC DATA PROCESSING IN COM 5M 20K –
BANK MONTREAL QUE COM 215M 3M –
BANK NOVA SCOTIA HALIFAX COM 21M 462K –
BARRICK GOLD CORP COM 16M 970K –
BCE INC COM NEW 338K 10K –
BOOKING HOLDINGS INC COM 11M 3K –
BROADCOM INC COM 42M 26K –
BROOKFIELD ASSET MANAGMT LTD CL A LMT VTG SHS 2M 56K –
BROOKFIELD CORP CL A LTD VT SH 94M 2M –
BROOKFIELD INFRASTRUCTURE CO COM SB VTG SHS A 13M 379K –
BROOKFIELD RENEWABLE CORP CL A SUB VTG 15M 521K –
BROOKFIELD RENEWABLE PARTNER PARTNERSHIP UNIT 11M 426K –
CADENCE DESIGN SYSTEM INC COM 1M 4K –
CAMECO CORP COM 35M 709K –
CANADIAN IMPERIAL BK COMM TO COM 47M 997K –
CANADIAN NAT RES LTD COM 122M 3M –
CANADIAN NATL RY CO COM 36M 301K –
CANADIAN PACIFIC KANSAS CITY COM 75M 957K –
CGI INC CL A SUB VTG 70M 706K –
CHEVRON CORP NEW COM 2M 13K –
CME GROUP INC COM 9M 48K –
COLGATE PALMOLIVE CO COM 6M 67K –
COLLIERS INTL GROUP INC SUB VTG SHS 2M 16K –
COSTCO WHSL CORP NEW COM 44M 52K –
CRH PLC ORD 713K 10K –
DANAHER CORPORATION COM 1M 5K –
DESCARTES SYS GROUP INC COM 3M 30K –
DISNEY WALT CO COM 2M 22K –
DUKE ENERGY CORP NEW COM NEW 3M 26K –
ELI LILLY & CO COM 2M 2K –
EMERSON ELEC CO COM 3M 26K –
ENBRIDGE INC COM 36M 1M –
EOG RES INC COM 6M 45K –
EQUINIX INC COM 11M 15K –
FACTSET RESH SYS INC COM 965K 2K –
FIRST TR EXCHANGE TRADED FD NASDQ CLN EDGE 2M 14K –
FORTIS INC COM 35M 902K –
GRAINGER W W INC COM 11M 12K –
GRANITE REAL ESTATE INVT TR UNIT 99/99/9999 14M 285K –
HARTFORD FINL SVCS GROUP INC COM 11M 109K –
HEALTHCARE SVCS GROUP INC COM 126K 12K –
HECLA MNG CO COM 107K 22K –
HOME DEPOT INC COM 17M 50K –
ICICI BANK LIMITED ADR 9M 319K –
ILLINOIS TOOL WKS INC COM 6M 24K –
ILLUMINA INC COM 2M 23K –
IMPERIAL OIL LTD COM NEW 4M 58K –
INTUIT COM 3M 4K –
INTUITIVE SURGICAL INC COM NEW 3M 6K –
ISHARES TR ESG MSCI USA MIN 1M 51K –
ISHARES TR IBOXX HI YD ETF 3M 34K –
JOHNSON & JOHNSON COM 19M 133K –
JPMORGAN CHASE & CO. COM 3M 14K –
KENVUE INC COM 10M 525K –
MAGNA INTL INC COM 2M 56K –
MANULIFE FINL CORP COM 35M 1M –
MARKETAXESS HLDGS INC COM 5M 25K –
MASTERCARD INCORPORATED CL A 27M 62K –
MCDONALDS CORP COM 24M 94K –
META PLATFORMS INC CL A 2M 3K –
METHANEX CORP COM 202K 4K –
MICROSOFT CORP COM 61M 137K –
MONOLITHIC PWR SYS INC COM 224K 373 –
MOTOROLA SOLUTIONS INC COM NEW 269K 696 –
NIKE INC CL B 5M 67K –
NIKE INC CL B 242K 116 –
NOVO-NORDISK A S ADR 30M 210K –
NUTRIEN LTD COM 16M 312K –
NVIDIA CORPORATION COM 5M 40K –
OPEN TEXT CORP COM 123M 4M –
PARKER-HANNIFIN CORP COM 936K 2K –
PEMBINA PIPELINE CORP COM 18M 492K –
PEPSICO INC COM 3M 21K –
PROCTER AND GAMBLE CO COM 11M 68K –
REPUBLIC SVCS INC COM 21M 110K –
RESTAURANT BRANDS INTL INC COM 89M 1M –
ROGERS COMMUNICATIONS INC CL B 15M 394K –
ROPER TECHNOLOGIES INC COM 3M 5K –
ROYAL BK CDA COM 195M 2M –
RTX CORPORATION COM 2M 20K –
SANOFI SPONSORED ADR 5M 112K –
SERVICENOW INC COM 2M 3K –
SHELL PLC SPON ADS 22M 310K –
SHERWIN WILLIAMS CO COM 782K 3K –
SHOPIFY INC CL A 8M 126K –
STANTEC INC COM 34M 402K –
STARBUCKS CORP COM 2M 23K –
SUN LIFE FINANCIAL INC. COM 18M 372K –
SUNCOR ENERGY INC NEW COM 104M 3M –
SYNOPSYS INC COM 2M 3K –
TC ENERGY CORP COM 11M 302K –
TECK RESOURCES LTD CL B 25M 531K –
TELUS CORPORATION COM 73M 5M –
TEXAS INSTRS INC COM 3M 16K –
THOMSON REUTERS CORP. COM 34M 201K –
TJX COS INC NEW COM 978K 9K –
TORONTO DOMINION BK ONT COM NEW 41M 748K –
TOTALENERGIES SE SPONSORED ADS 23M 345K –
TOYOTA MOTOR CORP ADS 258K 1K –
UNILEVER PLC SPON ADR NEW 8M 150K –
UNITEDHEALTH GROUP INC COM 26M 51K –
VERISK ANALYTICS INC COM 5M 19K –
VISA INC COM CL A 977K 4K –
WASTE CONNECTIONS INC COM 5M 27K –
WASTE MGMT INC DEL COM 18M 85K –
WATERS CORP COM 3M 12K –
WEC ENERGY GROUP INC COM 6M 78K –
WHEATON PRECIOUS METALS CORP COM 38M 717K –
WILLIAMS COS INC COM 29M 677K –
YUM CHINA HLDGS INC COM 3M 89K –
YUM CHINA HLDGS INC COM 352K 232 –