NORTHLEAF CAPITAL ADVISORS LTD.
Adviser information for NORTHLEAF CAPITAL ADVISORS LTD. last updated from Form ADV on January 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 | Corporation |
|---|---|
| Fiscal Year End | SEPTEMBER |
| Legal Location | Canada |
Employees
| Total Number of Employees | 165 |
|---|---|
| Investment Advisory/Research | 69 |
| Registered Broker-Dealer Representatives | 5 |
| 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 | 5 | $643.8M |
| Non-Discretionary | 0 | $0 |
| Total | 5 | $643.8M |
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 | 3 | $523.4M |
| 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 | 2 | $120.4M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 84 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-68391 |
|---|---|
| SEC ERA File Number | 801-68391 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 145014 |
| Legal Entity Identifier | None |
Principal Office
79 WELLINGTON STREET WEST, SUITE 600TORONTO, ONTARIO
Canada
Monday - Friday, 9:00 AM - 5:00 PM EST
Tel: 1 866 964 4141, Fax: None
Chief Compliance Officer
KATHERINE GURNEY
GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER
79 WELLINGTON STREET W
6TH FLOOR, BOX 120
TORONTO, ONTARIO
Canada
Tel:
416-477-6340
K***************@*******************M
(Full email address available in API data)
Regulatory Contact
BRENDAN SIHKSNEL
VICE PRESIDENT, LEGAL & COMPLIANCE
299 PARK AVENUE
41ST FLOOR
NEW YORK
NY
United States
Tel:
646-380-4921
B***************@*******************M
(Full email address available in API data)
Industry Affiliates
| CANADA LIFE ASSET MANAGEMENT LIMITED | Other investment adviser, including financial planners |
| CANADA LIFE INVESTMENT MANAGEMENT LTD. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| COUNSEL PORTFOLIO SERVICES INC. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| GLC ASSET MANAGEMENT GROUP INC. | Other investment adviser, including financial planners |
| GREAT WEST LIFE AND ANNUITY INSURANCE COMPANY | Insurance company or agencySponsor, GP, manager of pooled investment vehicles |
| I.G. INSURANCE SERVICES INC. | Insurance company or agency |
| I.G. INVESTMENT MANAGEMENT, LTD. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorInsurance company or agencySponsor, GP, manager of pooled investment vehicles |
| INVESTORS GROUP CORPORATE CLASS INC. | Sponsor, GP, manager of pooled investment vehicles |
| INVESTORS GROUP FINANCIAL SERVICES INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerInsurance company or agency |
| INVESTORS GROUP SECURITIES INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerInsurance company or agency |
| INVESTORS GROUP TRUST CO. LTD. | Trust company |
| IPC INVESTMENT CORPORATION | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| IPC SECURITIES CORPORATION | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| MACKENZIE EM FUNDS MANAGEMENT (CAYMAN) LTD. | Sponsor, GP, manager of pooled investment vehicles |
| MACKENZIE FINANCIAL CAPITAL CORPORATION | Sponsor, GP, manager of pooled investment vehicles |
| MACKENZIE GP INC. | Sponsor, GP, manager of pooled investment vehicles |
| MACKENZIE INVESTMENTS | Other investment adviser, including financial planners |
| MACKENZIE INVESTMENTS ASIA LIMITED | Other investment adviser, including financial planners |
| MACKENZIE INVESTMENTS EUROPE LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| MACKENZIE U.S. FUND MANAGEMENT INC. | Sponsor, GP, manager of pooled investment vehicles |
| MEMLS FUND MANAGEMENT (CAYMAN) LTD. | Sponsor, GP, manager of pooled investment vehicles |
| MMLP GP INC. | Sponsor, GP, manager of pooled investment vehicles |
| NICP IV GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| NICP IV GP LTD. | Sponsor, GP, manager of pooled investment vehicles |
| NORTHLEAF CAPITAL PARTNERS | Sponsor or syndicator of limited partnershipsSponsor, GP, manager of pooled investment vehicles |
| NORTHLEAF CAPITAL PARTNERS GP LTD. | Sponsor, GP, manager of pooled investment vehicles |
| NORTHLEAF NICP III GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| NORTHLEAF SECONDARY PARTNERS III GP LTD. | Sponsor, GP, manager of pooled investment vehicles |
| POWER PACIFIC INVESTMENT MANAGEMENT (IRELAND) LIMITED | Other investment adviser, including financial planners |
| POWER PACIFIC INVESTMENT MANAGEMENT INC. | Other investment adviser, including financial planners |
| QUADRUS INVESTMENT SERVICES LTD. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| THE CANADA LIFE ASSURANCE COMPANY | Insurance company or agency |
| THE PUTNAM ADVISORY COMPANY, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| NORTHLEAF CAPITAL OPPORTUNITIES (US) LP | Private Equity Fund | $91.1M | $5.0M | 1 |
| NORTHLEAF GLOBAL PRIVATE EQUITY INVESTORS (INTERNATIONAL) III LP | Private Equity Fund | $7.6M | $5.0M | 2 |
| NORTHLEAF INFRASTRUCTURE CAPITAL PARTNERS (US) III LP | INFRASTRUCTURE | $424.6M | $10.0M | 11 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| WAUGH, STUART, DOUGLAS | Individual | – | MANAGING DIRECTOR AND MANAGING PARTNER/DIRECTOR | 11/2009 | < 5% |
| FLOOD, MICHAEL, WILLIAM | Individual | – | MANAGING DIRECTOR/DIRECTOR | 08/2007 | < 5% |
| PENTLAND, JEFFREY, EDWARD GEORGE | Individual | – | MANAGING DIRECTOR/DIRECTOR | 12/2008 | < 5% |
| GURNEY, KATHERINE, MARY | Individual | – | GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER & SECRETARY | 12/2008 | < 5% |
| NORTHLEAF CAPITAL PARTNERS LTD. | Foreign Entity | – | DIRECT OWNER | 11/2009 | > 75% |
| NORTHLEAF CAPITAL GROUP LTD. | Foreign Entity | NORTHLEAF CAPITAL PARTNERS LTD. | SHAREHOLDER-VOTING SPECIAL SHARES | 01/2016 | > 75% |
| LUCASSEN, JEFFREY, THEODORUS | Individual | – | CHIEF FINANCIAL OFFICER | 11/2017 | < 5% |
| ARMSTRONG L.P. | Foreign Entity | NORTHLEAF CAPITAL GROUP LTD. | SHAREHOLDER | 10/2020 | 25-50% |
| MACKENZIE INVESTMENTS | Foreign Entity | ARMSTRONG L.P. | PARTNER | 09/2020 | > 75% |
| MACKENZIE INC. | Foreign Entity | MACKENZIE INVESTMENTS | SHAREHOLDER | 01/2003 | > 75% |
| IGM FINANCIAL INC. | Foreign Entity | MACKENZIE INC. | SHAREHOLDER | 08/1978 | > 75% |
| POWER FINANCIAL CORP. | Foreign Entity | IGM FINANCIAL INC. | SHAREHOLDER | 12/2008 | 50-75% |
| POWER CORPORATION OF CANADA | Foreign Entity | POWER FINANCIAL CORP. | SHAREHOLDER | 04/1940 | > 75% |
| THE DESMARAIS FAMILY RESIDUARY TRUST | Foreign Entity | POWER CORPORATION OF CANADA | SHAREHOLDER | 10/2013 | 50-75% |
| DESMARAIS, PAUL, GUY | Individual | THE DESMARAIS FAMILY RESIDUARY TRUST | TRUSTEE | 10/2013 | |
| DESMARAIS, ANDRE, ROGER | Individual | THE DESMARAIS FAMILY RESIDUARY TRUST | TRUSTEE | 10/2013 | |
| DESMARAIS, SOPHIE, CAROLINE | Individual | THE DESMARAIS FAMILY RESIDUARY TRUST | TRUSTEE | 03/2018 | |
| DOER, GARY, ALBERT | Individual | THE DESMARAIS FAMILY RESIDUARY TRUST | TRUSTEE | 05/2023 |