1832 ASSET MANAGEMENT U.S. INC.
Adviser information for 1832 ASSET MANAGEMENT U.S. INC. last updated from Form ADV on January 26th, 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 | OCTOBER |
| Legal Location | Canada |
Employees
| Total Number of Employees | 43 |
|---|---|
| Investment Advisory/Research | 22 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 8 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 333 | $787.2M |
| Non-Discretionary | 0 | $0 |
| Total | 333 | $787.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 76 | $358.5M |
| HNW Individuals | 107 | $55.8M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $206.5M |
| 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 | 16 | $166.3M |
| Other | 0 | $0 |
| 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 individuals and/or small businessesPortfolio management for investment companiesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-61257 |
|---|---|
| SEC ERA File Number | 801-61257 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 120836 |
| Legal Entity Identifier | None |
Principal Office
16TH FLOOR40 TEMPERANCE STREET
TORONTO, ONTARIO
Canada
Monday - Friday, 8:30 TO 5:00
Tel: 416-840-7986, Fax: 416-933-7481
Chief Compliance Officer
DANA BANKS
CHIEF COMPLIANCE OFFICER
250 VESEY STREET
25TH FLOOR
NEW YORK
NY
United States
Tel:
212-225-5277
D*********@*************M
(Full email address available in API data)
Regulatory Contact
VICTORIA MCCANN
SENIOR MANAGER, COMPLIANCE
25TH FLOOR
250 VESEY STREET
NEW YORK
NY
United States
Tel:
332-228-8605
V**************@*************M
(Full email address available in API data)
Industry Affiliates
| 1832 ASSET MANAGEMENT L.P. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| JARISLOWSKY FRASER LTD | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| MD FINANCIAL MANAGEMENT INC. | Other investment adviser, including financial planners |
| MD MANAGEMENT LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| SCOTIA BANK & TRUST COMPANY (BAHAMAS) LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealerBanking or thrift institutionTrust company |
| SCOTIA BANK & TRUST COMPANY (CAYMAN) LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealerBanking or thrift institutionTrust company |
| SCOTIA CAPITAL (USA) INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| SCOTIA CAPITAL INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersFutures commission merchant |
| SCOTIA MANAGED COMPANIES ADMINSTRATION INC. | Sponsor, GP, manager of pooled investment vehicles |
| SCOTIA SECURITIES INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| SCOTIA WEALTH INSURANCE SERVICES INC. | Insurance company or agency |
| SCOTIABANK | Banking or thrift institution |
| SCOTIATRUST | Trust company |
| TANGERINE BANK | Banking or thrift institution |
| TANGERINE INVESTMENT FUNDS LTD. | Other investment adviser, including financial planners |
| TANGERINE INVESTMENT MANAGEMENT INC. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| 1832 ASSET MANAGEMENT L.P. | Foreign Entity | – | OWNER | 11/2009 | > 75% |
| THE BANK OF NOVA SCOTIA | Foreign Entity | 1832 ASSET MANAGEMENT G.P. INC. | OWNER | 11/2009 | > 75% |
| 1832 ASSET MANAGEMENT G.P. INC. | Foreign Entity | 1832 ASSET MANAGEMENT L.P. | GENERAL PARTNER | 11/2009 | |
| PEREIRA, JOHN | Individual | – | DIRECTOR | 12/2015 | < 5% |
| JOSEPH, GREGORY | Individual | – | CHIEF FINANCIAL OFFICER | 02/2017 | < 5% |
| FLICK, TODD, WINSTON | Individual | – | DIRECTOR AND CHIEF EXECUTIVE OFFICER | 06/2017 | < 5% |
| Banks, Dana, Robyn | Individual | – | CHIEF COMPLIANCE OFFICER | 12/2018 | < 5% |
| BNS INVESTMENTS, INC. | Foreign Entity | 1832 ASSET MANAGEMENT L.P. | LIMITED PARTNER | 05/2023 | > 75% |
| THE BANK OF NOVA SCOTIA | Foreign Entity | BNS INVESTMENTS, INC. | OWNER | 06/1997 | > 75% |
| Pierre-Louis, Nathalie, Therese | Individual | – | DIRECTOR | 05/2023 | < 5% |