CAPITAL GUARDIAN (CANADA), INC.
Adviser information for CAPITAL GUARDIAN (CANADA), INC. last updated from Form ADV on December 6th, 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 | JUNE |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 1 |
|---|---|
| Investment Advisory/Research | 1 |
| 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 | No |
|---|
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| 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 | 1 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | INVESTMENT ADVISORY RESEARCH AND RELATED SERVICES TO AN AFFILIATE. |
|---|---|
| Compensation | BASED UPON COST OF OPERATION PLUS MARK-UP. |
Identifiers
| SEC RIA File Number | 801-56526 |
|---|---|
| SEC ERA File Number | 801-56526 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 110681 |
| Legal Entity Identifier | None |
Principal Office
333 SOUTH HOPE STREET55TH FLOOR
LOS ANGELES
CA
United States
Monday - Friday, 8:00 A.M. - 5:00 P.M.
Tel: (213) 486-9200, Fax: None
Chief Compliance Officer
HERBERT Y. POON
333 SOUTH HOPE STREET
55TH FLOOR
LOS ANGELES
CA
United States
Tel:
213-615-0432
H**@***********M
(Full email address available in API data)
Regulatory Contact
NELSON N. LEE
REGULATORY CONTACT PERSON
333 SOUTH HOPE STREET
55TH FLOOR
LOS ANGELES
CA
United States
Tel:
(213) 615-4080
N**@***********M
(Full email address available in API data)
Industry Affiliates
| CAPITAL BANK AND TRUST COMPANY | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorBanking or thrift institutionTrust companySponsor, GP, manager of pooled investment vehicles |
| CAPITAL GROUP PRIVATE CLIENT SERVICES, INC. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| CAPITAL INTERNATIONAL ASSET MANAGEMENT (CANADA), INC. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| CAPITAL INTERNATIONAL, INC. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| CAPITAL RESEARCH AND MANAGEMENT COMPANY | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CAPITAL INTERNATIONAL, INC. | Domestic Entity | – | SHAREHOLDER | 07/2019 | > 75% |
| CAPITAL GROUP INTERNATIONAL, INC. | Domestic Entity | CAPITAL INTERNATIONAL, INC. | SHAREHOLDER | 04/1998 | > 75% |
| CAPITAL RESEARCH AND MANAGEMENT COMPANY | Domestic Entity | CAPITAL GROUP INTERNATIONAL, INC. | SHAREHOLDER | 07/2014 | > 75% |
| BURGE, JEREMY, HOWARD | Individual | – | DIRECTOR, CHAIRMAN | 09/2010 | < 5% |
| HEADRICK, RICK | Individual | – | DIRECTOR | 01/2020 | < 5% |
| THE CAPITAL GROUP COMPANIES, INC. | Domestic Entity | CAPITAL RESEARCH AND MANAGEMENT COMPANY | SHAREHOLDER | 02/1967 | > 75% |
| PHILLIPS, ADAM, WALKER | Individual | – | DIRECTOR AND TREASURER | 03/2023 | < 5% |
| Poon, Herbert, Yungtai | Individual | – | CHIEF COMPLIANCE OFFICER | 12/2023 | < 5% |