ACKER FINLEY ASSET MANAGEMENT USA INC.
Adviser information for ACKER FINLEY ASSET MANAGEMENT USA INC. last updated from Form ADV on March 15th, 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 | JANUARY |
| Legal Location | Canada |
Employees
| Total Number of Employees | 3 |
|---|---|
| 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 | No |
|---|
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | <5 | $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 | 2 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | INVESTMENT RECOMMENDATIONS |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-56769 |
|---|---|
| SEC ERA File Number | 801-56769 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 110888 |
| Legal Entity Identifier | None |
Principal Office
181 UNIVERSITY AVENUESUITE 1400
TORONTO
Canada
Monday - Friday, 9:00AM - 5:00PM
Tel: 416-777-9005, Fax: 416-777-2096
Chief Compliance Officer
MARIAN BUKLIS
CHIEF COMPLIANCE OFFICER
181 UNIVERSITY AVE., SUITE 1400
TORONTO
Canada
Tel:
416-777-9005
Fax:
416-777-2096
M*****@**************M
(Full email address available in API data)
Industry Affiliates
| ACKER FINLEY ASSET MANAGEMENT INC. | Other investment adviser, including financial planners |
| ACKER FINLEY INC. | 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 |
|---|---|---|---|---|---|
| ACKER FINLEY HOLDINGS INC. | Foreign Entity | – | SHAREHOLDER | 07/1999 | > 75% |
| ACKER, BRIAN, GEORGE | Individual | – | PRESIDENT | 07/1999 | > 75% |
| SGROMO, ENRICO, SALVATOR | Individual | – | VICE PRESIDENT, RESEARCH | 07/1999 | < 5% |
| BUKLIS, MARIAN, MONICA | Individual | – | CHIEF COMPLIANCE OFFICER | 07/1999 | < 5% |