RICHARDSON WEALTH (USA) LIMITED
Adviser information for RICHARDSON WEALTH (USA) LIMITED last updated from Form ADV on March 25th, 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 | DECEMBER |
| Legal Location | Canada |
Employees
| Total Number of Employees | 15 |
|---|---|
| Investment Advisory/Research | 0 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 0 |
| 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 | 245 | $193.3M |
| Non-Discretionary | 0 | $0 |
| Total | 245 | $193.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 203 | $52.6M |
| HNW Individuals | 38 | $112.2M |
| 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 | 5 | $28.5M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 7 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-77951 |
|---|---|
| SEC ERA File Number | 801-77951 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 166090 |
| Legal Entity Identifier | None |
Principal Office
100 QUEENS QUAY EASTSUITE 2500
TORONTO, ONTARIO
Canada
Monday - Friday, 9-5
Tel: 1-855-204-7467, Fax: 416-941-0830
Chief Compliance Officer
BENJAMIN FINNEY
100 QUEENS QUAY EAST
SUITE 2500
TORONTO, ONTARIO
Canada
Tel:
(416) 969-3200
B**************@**********************M
(Full email address available in API data)
Regulatory Contact
JOANNE SALITURO
SENIOR MANAGER, REGISTRATIONS
100 QUEENS QUAY EAST
SUITE 500
TORONTO. ONTARIO
Canada
Tel:
416-864-3630
J**************@**********************M
(Full email address available in API data)
Industry Affiliates
| RICHARDSON WEALTH LIMITED | 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 |
|---|---|---|---|---|---|
| RICHARDSON WEALTH LIMITED | Foreign Entity | – | CORPORATION | 11/2012 | > 75% |
| RFC HOLDING CORP | Foreign Entity | RICHARDSON WEALTH LIMITED | SHAREHOLDER | 11/2012 | 25-50% |
| RFSC SERVICES CANADA INC. | Foreign Entity | RICHARDSON WEALTH LIMITED | SHAREHOLDER | 11/2012 | > 75% |
| RF CAPITAL GROUP INC | Foreign Entity | RFSC SERVICES CANADA INC. | SHAREHOLDER | 11/2012 | > 75% |
| RF CAPITAL GROUP INC | Foreign Entity | RFC HOLDING CORP | SHAREHOLDER | 11/2012 | 25-50% |
| Stennett, Scott | Individual | – | DIRECTOR | 02/2017 | < 5% |
| Wilson, Timothy | Individual | – | DIRECTOR | 04/2021 | < 5% |
| Widmeyer, Sarah | Individual | – | DIRECTOR, CHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER | 02/2023 | < 5% |
| FINNEY, BENJAMIN, RODNEY | Individual | – | CHIEF COMPLIANCE OFFICER | 08/2023 | < 5% |