AGF INVESTMENTS
AGF INVESTMENTS LLC Legal Name
Adviser information for AGF INVESTMENTS last updated from Form ADV on February 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | NOVEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 14 |
|---|---|
| Investment Advisory/Research | 8 |
| Registered Broker-Dealer Representatives | 5 |
| Registered State Investment Advisers | 4 |
| 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 | 8 | $1.8B |
| Non-Discretionary | 7 | $521.2M |
| Total | 15 | $2.4B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 2 | $321.5M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 13 | $2.0B |
| 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 | 0 |
| No. of Non-U.S. Clients | 82 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-71685 |
|---|---|
| SEC ERA File Number | 801-71685 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 153781 |
| Legal Entity Identifier | None |
Principal Office
99 HIGH STREETSUITE 2802
BOSTON
MA
United States
Monday - Friday, 9:00AM- 5:00PM
Tel: 617-292-9804, Fax: 617-275-8993
Websites
Chief Compliance Officer
HEATHER WAHL
CHIEF COMPLIANCE OFFICER
CIBC SQUARE, TOWER ONE
81 BAY STREET, SUITE 3900
TORONTO, ONTARIO
Canada
Tel:
416-865-4244
Fax:
416-865-4220
H***********@******M
(Full email address available in API data)
Regulatory Contact
JENNIFER SCHWARTZ
VICE PRESIDENT
CIBC SQUARE, TOWER ONE
81 BAY STREET, SUITE 3900
TORONTO, ONTARIO
Canada
Tel:
416-815-6225
Fax:
416-865-4220
J****************@******M
(Full email address available in API data)
Industry Affiliates
| AGF INTERNATIONAL ADVISORS COMPANY LIMITED | Other investment adviser, including financial planners |
| AGF INVESTMENTS | Other investment adviser, including financial planners |
| AGF INVESTMENTS INC. | Other investment adviser, including financial planners |
| AGFWAVE ASSET MANAGEMENT INC. | Other investment adviser, including financial planners |
| CYPRESS CAPITAL MANAGEMENT LIMITED | Other investment adviser, including financial planners |
| CYPRESS CAPITAL MANAGEMENT US LIMITED | Other investment adviser, including financial planners |
| DOHERTY & ASSOCIATES LTD. | Other investment adviser, including financial planners |
| HIGHSTREET ASSET MANAGEMENT INC. | Other 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 |
|---|---|---|---|---|---|
| DEROCHE, WILLIAM, HENRY | Individual | – | CHIEF INVESTMENT OFFICER | 04/2010 | < 5% |
| AGF QUANTITATIVE ADVISORS, INC. | Foreign Entity | – | DIRECT OWNER | 11/2015 | > 75% |
| AGF MANAGEMENT LTD | Foreign Entity | AGF QUANTITATIVE ADVISORS, INC. | DIRECT OWNER | 11/2015 | > 75% |
| GOLDRING CAPITAL CORPORATION | Foreign Entity | AGF MANAGEMENT LTD | SHAREHOLDER | 06/1985 | > 75% |
| GOLDRING, JUDITH, GAIL | Individual | – | DIRECTOR/CHAIR OF THE BOARD | 11/2015 | < 5% |
| MCCREADIE, KEVIN, ANDREW | Individual | – | DIRECTOR | 11/2015 | < 5% |
| ADAMS, MARK, WILLIAM | Individual | – | CORPORATE SECRETARY | 06/2017 | < 5% |
| BCG HOLDING CORPORATION | Foreign Entity | GOLDRING CAPITAL CORPORATION | SHAREHOLDER | 11/2008 | 50-75% |
| GOLDRING, BLAKE, CHARLES | Individual | BCG HOLDING CORPORATION | DIRECT OWNER | 04/2008 | > 75% |
| HENDRICKSON, DAMION, JEREMY | Individual | – | MANAGING DIRECTOR | 03/2020 | < 5% |
| WAHL, HEATHER, ELIZABETH | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2022 | < 5% |
| TSANG, KEN, SIN | Individual | – | CHIEF FINANCIAL OFFICER | 06/2023 | < 5% |