INVERLOCHY CAPITAL, INC.
Adviser information for INVERLOCHY CAPITAL, INC. last updated from Form ADV on February 23rd, 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 | New York, United States |
Employees
| Total Number of Employees | 1 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| 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 | 64 | $28.4M |
| Non-Discretionary | 1 | $5.8M |
| Total | 65 | $34.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 9 | $3.7M |
| HNW Individuals | 14 | $23.9M |
| 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 | <5 | $6.6M |
| 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 | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMHourly charges |
Identifiers
| SEC RIA File Number | 801-78014 |
|---|---|
| SEC ERA File Number | 801-78014 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 132253 |
| Legal Entity Identifier | None |
Principal Office
464 FAIRBAIRN ROADBOBCAYGEON, ONTARIO
Canada
Monday - Friday, 9AM - 5PM
Tel: 705-887-6953, Fax: 705-887-5938
Websites
Chief Compliance Officer
W. GLEN MORRISON
PRESIDENT
464 FAIRBAIRN ROAD
BOBCAYGEON, ON
Canada
Tel:
705 887 6953
Fax:
705 887 5938
G********@********************M
(Full email address available in API data)
Regulatory Contact
WILLIAM GLEN MORRISON
PRESIDENT
464 FAIRBAIRN ROAD
BOBCAYGEON, ONTARIO
Canada
Tel:
705 887 6953
Fax:
705 887 5938
G********@********************M
(Full email address available in API data)
Industry Affiliates
| INVERLOCHY CAPITAL LTD. | Other investment adviser, including financial planners |
| WILLIAM G. MORRISON IS AN EMPLOYEE OF INVERLOCHY CAPITAL LTD. AN OSC REGISTERED PORTFOLIO MGT COMPANY | 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 |
|---|---|---|---|---|---|
| INVERLOCHY CAPITAL GROUP LTD. | Foreign Entity | INVERLOCHY CAPITAL LTD. | OWNER | 01/2016 | > 75% |
| MORRISON, WILLIAM, GLEN | Individual | – | PRESIDENT/PRINCIPAL | 07/2004 | < 5% |
| INVERLOCHY CAPITAL LTD | Foreign Entity | – | OWNER | 01/2016 | > 75% |
| MORRISON, WILLIAM, GLEN | Individual | INVERLOCHY CAPITAL GROUP LTD. | OWNER | 08/2014 | > 75% |