ODLUM BROWN USA INVESTMENT MANAGEMENT LIMITED
Adviser information for ODLUM BROWN USA INVESTMENT MANAGEMENT LIMITED last updated from Form ADV on June 15th, 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 | MARCH |
| Legal Location | Canada |
Employees
| Total Number of Employees | 37 |
|---|---|
| Investment Advisory/Research | 37 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 37 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 385 | $130.8M |
| Non-Discretionary | 0 | $0 |
| Total | 385 | $130.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 170 | $48.5M |
| HNW Individuals | 21 | $50.9M |
| 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 | 30 | $31.4M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-63386 |
|---|---|
| SEC ERA File Number | 801-63386 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 132242 |
| Legal Entity Identifier | None |
Principal Office
1100-250 HOWE STREETVANCOUVER, BRITISH COLUMBIA
Canada
Monday - Friday, 6:30 AM-4:00 PM (PST)
Tel: 1-866-636-8222, Fax: 604-844-5342
Websites
Chief Compliance Officer
MARK SRDANOVIC
CHIEF COMPLIANCE OFFICER
1100-250 HOWE STREET
VANCOUVER, BRITISH COLUMBIA
Canada
Tel:
604-844-5478
Fax:
604-844-5342
M*********@****************M
(Full email address available in API data)
Regulatory Contact
PETER PACHOLKO
COO & CFO
1100 - 250 HOWE STREET
VANCOUVER, BC
Canada
Tel:
604-844-5389
Fax:
604-681-8310
P********@****************M
(Full email address available in API data)
Industry Affiliates
| ODLUM BROWN FINANCIAL SERVICES LIMITED | Insurance company or agency |
| ODLUM BROWN LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther 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 |
|---|---|---|---|---|---|
| Srdanovic, Mark, Ivan | Individual | – | DIRECTOR & CHIEF COMPLIANCE OFFICER | 06/2017 | < 5% |
| HEWSON, DEBRA ANN, DOUCETTE | Individual | – | DIRECTOR & PRESIDENT & CHIEF EXECUTIVE OFFICER | 06/2007 | < 5% |
| PACHOLKO, PETER, R | Individual | – | DIRECTOR & CHIEF FINANCIAL OFFICER | 06/2004 | < 5% |
| ODLUM BROWN LIMITED | Foreign Entity | – | PARENT | 06/2004 | > 75% |
| Abbott, Kimberley, Mona | Individual | – | VICE PRESIDENT | 06/2017 | < 5% |