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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

INNOCAP INVESTMENT MANAGEMENT INC.

CRD 150564

MONTREAL

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Search this name across graphsid dfx:ria:0bb0ce57-6f3f-8b0d-cfbd-fb9db992076f

Data as of Jan 29, 2024 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 27
Dated events: 12
On other graphs: 0
Observed: Jan 28, 2014 to Jan 29, 2024
21 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $2.6BItem 5.F on the latest filing (2024-01-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $2.6B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 64
Advisory employees: 6
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 33
SEC number: 801-79155
CRD: 150564
Filings on the tape: 21
First filed: Jan 28, 2014
Latest filed: Jan 29, 2024
Organised: Corporation

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
HEADWATER FUND LP	Hedge Fund	$459M	Oct 26, 2021	2	Jan 24, 2020	dropped	n/a

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
10313157 CANADA INC.	30% OWNER OF INNOCAP INVESTMENT MANAGEMENT INC.	C	yes	05/2018	May 31, 2018	Jan 29, 2024
Bessette, Hugues, Normand, Serge	CHIEF INVESTMENT OFFICER	Na	yes	12/2017	Jan 29, 2019	Jan 29, 2024
CDP INVESTISSEMENTS INC.	33% OWNER OF INNOCAP INVESTMENT MANAGEMENT INC.	C	yes	05/2018	May 31, 2018	Jan 29, 2024
KESTLER, JOSHUA, DAVID	President	Na	yes	12/2022	Jan 27, 2023	Jan 29, 2024
LADOVRECHIS, AFRODITI	CHIEF COMPLIANCE OFFICER	Na	yes	10/2016	Jan 28, 2014	Jan 29, 2024
LAPKIN, ANDREW, SCOTT	CHIEF OPERATING OFFICER	Na	yes	12/2022	Jan 27, 2023	Jan 29, 2024
MORIN, EVELYNE	GENERAL COUNSEL	Na	yes	11/2016	May 31, 2018	Jan 29, 2024
RIVARD, FRANCOIS	CHIEF EXECUTIVE OFFICER	Na	yes	02/2013	Jan 28, 2014	Jan 29, 2024
RIVARD, FRANCOIS	ONE OF THE OWNERS OF 10313157 CANADA INC.	D	yes	07/2017	Jan 28, 2014	Jan 29, 2024
Bakker Arkema, Arne	Director	Na	no	11/2019	Jan 24, 2020	Jan 29, 2024
BEAUCHEMIN, CATHERINE, MARIELLE	Director	Na	no	05/2018	May 31, 2018	Jan 29, 2024
BROSSEAU, SYLVAIN	Director	Na	no	08/2022	Aug 30, 2022	Jan 29, 2024
BUCHAN, JANE, MELISSA	Director	Na	no	03/2020	Jan 28, 2021	Jan 29, 2024
DUGAS-SAMPARA, AMELIE	Director	Na	no	04/2023	Jan 29, 2024	Jan 29, 2024
Flanagan, Alan	Director	Na	no	08/2022	Aug 30, 2022	Jan 29, 2024
HANFF, Andres, BERNARD	Director	Na	no	12/2022	Jan 27, 2023	Jan 29, 2024
MANCINI-PULIAFICO, JANE, MARIE	Director	Na	no	08/2022	Aug 30, 2022	Jan 29, 2024
Somers, Pierre, NMN	MAJORITY OWNER OF WGAM STRATEGIC PARTNERSHIP FUND L.P.	E	no	08/2022	Jan 27, 2023	Jan 29, 2024
WALTER GROUP INC.	MAJORITY OWNER OF WGAM STRATEGIC PARTNERSHIP FUND L.P.	E	no	08/2022	Aug 30, 2022	Jan 29, 2024
WGAM GENERAL PARTNER, INC.	GENERAL PARTNERS OF WGAM STRATEGIC PARTNERSHIP FUND L.P.	F	no	08/2022	Aug 30, 2022	Jan 29, 2024
WGAM STRATEGIC PARTNERSHIP FUND L.P.	12% OWNER OF INNOCAP INVESTMENT MANAGEMENT INC.	B	no	08/2022	Aug 30, 2022	Jan 29, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
INNOCAP GLOBAL INVESTMENT MANAGEMENT (IRELAND) LTD	n/a	Other adviser	$141B	Y	yes	n/a
INNOCAP INVESTMENT ADVISERS, LLC.	n/a	Other adviser	$2.7B	Y	yes	n/a
HEDGEMARK SECURITIES LLC	n/a	n/a	n/a	Y	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023	Jan 29, 2024	$2.6B	$2.6B	64	6	0	n/a	n/a
2022	Jan 27, 2023	$2.0B	$2.0B	55	6	0	n/a	n/a
2021	Jan 28, 2022	$1.1B	$1.1B	51	6	0	n/a	n/a
2020	Jan 28, 2021	$974M	$974M	50	5	0	1	$459M
2019	Jan 24, 2020	$727M	$676M	49	6	0	1	$351M
2018	Jan 29, 2019	$238M	$195M	48	10	0	n/a	n/a
2017	Jan 26, 2018	$309M	$309M	45	5	0	n/a	n/a
2016	Jan 27, 2017	$4.8B	$643M	40	5	n/a	n/a	n/a
2015	Jan 29, 2016	$4.1B	$352M	33	5	n/a	n/a	n/a
2014	Jan 28, 2015	$2.5B	$337M	34	5	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$2.6B	$2.0B	29.1%	$974M	38.5%	64	55	0	0

Relationships

Affiliated with (5)

← INNOCAP INVESTMENT ADVISERS, LLC.Registered adviserother investment adviser, control
factForm ADV
← INNOCAP GLOBAL INVESTMENT MANAGEMENT (IRELAND) LTDRegistered adviserother investment adviser, control, common control
factForm ADV
→ INNOCAP GLOBAL INVESTMENT MANAGEMENT (IRELAND) LTDRegistered adviserother investment adviser, bank, control, common control
factForm ADV
→ INNOCAP INVESTMENT ADVISERS, LLC.Registered adviserother investment adviser, control, common control
factForm ADV
← INNOCAP GLOBAL INVESTMENT MANAGEMENT LTD.Registered adviserother investment adviser, common control
factForm ADV

Owns (12)

← MANCINI-PULIAFICO, JANE, MARIEOwnerDIRECTOR, ownership code NA, individual
Aug 30, 2022 to presentfactForm ADV
← BUCHAN, JANE, MELISSAOwnerDIRECTOR, ownership code NA, individual
Jan 28, 2021 to presentfactForm ADV
← BROSSEAU, SYLVAINOwnerDIRECTOR, ownership code NA, individual
Aug 30, 2022 to presentfactForm ADV
← BEAUCHEMIN, CATHERINE, MARIELLEOwnerDIRECTOR, ownership code NA, individual
May 31, 2018 to presentfactForm ADV
← Bakker Arkema, ArneOwnerDIRECTOR, ownership code NA, individual
Jan 24, 2020 to presentfactForm ADV
← Somers, Pierre, NMNOwnerMAJORITY OWNER OF WGAM STRATEGIC PARTNERSHIP FUND L.P., ownership code E, individual
Jan 27, 2023 to presentfactForm ADV
← Flanagan, AlanOwnerDIRECTOR, ownership code NA, individual
Aug 30, 2022 to presentfactForm ADV
← HANFF, Andres, BERNARDOwnerDIRECTOR, ownership code NA, individual
Jan 27, 2023 to presentfactForm ADV
← DUGAS-SAMPARA, AMELIEOwnerDIRECTOR, ownership code NA, individual
Jan 29, 2024 to presentfactForm ADV
← WALTER GROUP INC.OwnerMAJORITY OWNER OF WGAM STRATEGIC PARTNERSHIP FUND L.P., ownership code E, foreign entity
Aug 30, 2022 to presentfactForm ADV
← WGAM GENERAL PARTNER, INC.OwnerGENERAL PARTNERS OF WGAM STRATEGIC PARTNERSHIP FUND L.P., ownership code F, foreign entity
Aug 30, 2022 to presentfactForm ADV
← WGAM STRATEGIC PARTNERSHIP FUND L.P.Owner12% OWNER OF INNOCAP INVESTMENT MANAGEMENT INC., ownership code B, foreign entity
Aug 30, 2022 to presentfactForm ADV

Controls (8)

← LAPKIN, ANDREW, SCOTTOwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Jan 27, 2023 to presentfactForm ADV
← KESTLER, JOSHUA, DAVIDOwnerPRESIDENT, ownership code NA, individual
Jan 27, 2023 to presentfactForm ADV
← RIVARD, FRANCOISOwnerONE OF THE OWNERS OF 10313157 CANADA INC., ownership code D, individual
Jan 28, 2014 to presentfactForm ADV
← LADOVRECHIS, AFRODITIOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 28, 2014 to presentfactForm ADV
← MORIN, EVELYNEOwnerGENERAL COUNSEL, ownership code NA, individual
May 31, 2018 to presentfactForm ADV
← Bessette, Hugues, Normand, SergeOwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Jan 29, 2019 to presentfactForm ADV
← 10313157 CANADA INC.Owner30% OWNER OF INNOCAP INVESTMENT MANAGEMENT INC., ownership code C, foreign entity
May 31, 2018 to presentfactForm ADV
← CDP INVESTISSEMENTS INC.Owner33% OWNER OF INNOCAP INVESTMENT MANAGEMENT INC., ownership code C, foreign entity
May 31, 2018 to presentfactForm ADV

Advises (1)

→ HEADWATER FUND LPPrivate fundHedge Fund, IA, no longer reported
Jan 24, 2020 to Oct 26, 2021factForm ADV

Dated events

Occurred
Jan 29, 2024
Regulatory AUM changed
Innocap Investment Management Inc. reported RAUM $2.6B, up 29% from $2.0B (2023-01-27 to 2024-01-29)
Form ADVobserved 4 days ago
$583M
Occurred
Jan 27, 2023
Regulatory AUM changed
Innocap Investment Management Inc. reported RAUM $2.0B, up 85% from $1.1B (2022-08-30 to 2023-01-27)
Form ADVobserved 4 days ago
$921M
Occurred
Jan 27, 2023
Control person left
Jean Baram (Chief Operating Officer) no longer on Schedule A of Innocap Investment Management Inc. (listed 2022-08-30, absent 2023-01-27)
Form ADVobserved 4 days ago
Occurred
Jan 27, 2023
Control person joined
David Joshua Kestler (President) appeared on Schedule A of Innocap Investment Management Inc.
Form ADVobserved 4 days ago
Occurred
Jan 27, 2023
Control person joined
Scott Andrew Lapkin (Chief Operating Officer) appeared on Schedule A of Innocap Investment Management Inc.
Form ADVobserved 4 days ago
Occurred
Jan 28, 2021
Regulatory AUM changed
Innocap Investment Management Inc. reported RAUM $973.7M, up 34% from $727.3M (2020-05-14 to 2021-01-28)
Form ADVobserved 4 days ago
$246M
Occurred
Jan 24, 2020
Regulatory AUM changed
Innocap Investment Management Inc. reported RAUM $727.3M, up 205% from $238.3M (2019-01-29 to 2020-01-24)
Form ADVobserved 4 days ago
$489M
Occurred
Jan 24, 2020
Control person left
Benjamin Stephane Arnaud Schwebel (Director) no longer on Schedule A of Innocap Investment Management Inc. (listed 2019-01-29, absent 2020-01-24)
Form ADVobserved 4 days ago
Occurred
Jan 24, 2020
Control person left
Stephane Leveille (Director) no longer on Schedule A of Innocap Investment Management Inc. (listed 2019-01-29, absent 2020-01-24)
Form ADVobserved 4 days ago
Occurred
Jan 29, 2019
Control person joined
Serge Normand Hugues Bessette (Chief Investment & Risk Officer) appeared on Schedule A of Innocap Investment Management Inc.
Form ADVobserved 4 days ago
Occurred
Jan 26, 2018
Regulatory AUM changed
Innocap Investment Management Inc. reported RAUM $309.0M, down 94% from $4.8B (2017-01-27 to 2018-01-26)
Form ADVobserved 4 days ago
$-4.5B
Occurred
Jan 28, 2014
First Form ADV filing
Innocap Investment Management Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0bb0ce57-6f3f-8b0d-cfbd-fb9db992076f
First observed: Jan 28, 2014
Last observed: Jan 29, 2024 32 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

INNOCAP INVESTMENT MANAGEMENT INC.

CRD 150564

MONTREAL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:0bb0ce57-6f3f-8b0d-cfbd-fb9db992076f

Data as of Jan 29, 2024 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:06 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

HEADWATER FUND LP

Hedge Fund

$459M

Oct 26, 2021

Jan 24, 2020

dropped

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

10313157 CANADA INC.

30% OWNER OF INNOCAP INVESTMENT MANAGEMENT INC.

yes

05/2018

May 31, 2018

Jan 29, 2024

Bessette, Hugues, Normand, Serge

CHIEF INVESTMENT OFFICER

yes

12/2017

Jan 29, 2019

Jan 29, 2024

CDP INVESTISSEMENTS INC.

33% OWNER OF INNOCAP INVESTMENT MANAGEMENT INC.

yes

05/2018

May 31, 2018

Jan 29, 2024

KESTLER, JOSHUA, DAVID

President

yes

12/2022

Jan 27, 2023

Jan 29, 2024

LADOVRECHIS, AFRODITI

CHIEF COMPLIANCE OFFICER

yes

10/2016

Jan 28, 2014

Jan 29, 2024

LAPKIN, ANDREW, SCOTT

CHIEF OPERATING OFFICER

yes

12/2022

Jan 27, 2023

Jan 29, 2024

MORIN, EVELYNE

GENERAL COUNSEL

yes

11/2016

May 31, 2018

Jan 29, 2024

RIVARD, FRANCOIS

CHIEF EXECUTIVE OFFICER

yes

02/2013

Jan 28, 2014

Jan 29, 2024

RIVARD, FRANCOIS

ONE OF THE OWNERS OF 10313157 CANADA INC.

yes

07/2017

Jan 28, 2014

Jan 29, 2024

Bakker Arkema, Arne

Director

11/2019

Jan 24, 2020

Jan 29, 2024

BEAUCHEMIN, CATHERINE, MARIELLE

Director

05/2018

May 31, 2018

Jan 29, 2024

BROSSEAU, SYLVAIN

Director

08/2022

Aug 30, 2022

Jan 29, 2024

BUCHAN, JANE, MELISSA

Director

03/2020

Jan 28, 2021

Jan 29, 2024

DUGAS-SAMPARA, AMELIE

Director

04/2023

Jan 29, 2024

Flanagan, Alan

Director

08/2022

Aug 30, 2022

Jan 29, 2024

HANFF, Andres, BERNARD

Director

12/2022

Jan 27, 2023

Jan 29, 2024

MANCINI-PULIAFICO, JANE, MARIE

Director

08/2022

Aug 30, 2022

Jan 29, 2024

Somers, Pierre, NMN

MAJORITY OWNER OF WGAM STRATEGIC PARTNERSHIP FUND L.P.

08/2022

Jan 27, 2023

Jan 29, 2024

WALTER GROUP INC.

MAJORITY OWNER OF WGAM STRATEGIC PARTNERSHIP FUND L.P.

08/2022

Aug 30, 2022

Jan 29, 2024

WGAM GENERAL PARTNER, INC.

GENERAL PARTNERS OF WGAM STRATEGIC PARTNERSHIP FUND L.P.

08/2022

Aug 30, 2022

Jan 29, 2024

WGAM STRATEGIC PARTNERSHIP FUND L.P.

12% OWNER OF INNOCAP INVESTMENT MANAGEMENT INC.

08/2022

Aug 30, 2022

Jan 29, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

INNOCAP GLOBAL INVESTMENT MANAGEMENT (IRELAND) LTD

n/a

Other adviser

$141B

yes

n/a

INNOCAP INVESTMENT ADVISERS, LLC.

n/a

Other adviser

$2.7B

yes

n/a

HEDGEMARK SECURITIES LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2023

Jan 29, 2024

$2.6B

n/a

2022

Jan 27, 2023

$2.0B

n/a

2021

Jan 28, 2022

$1.1B

n/a

2020

Jan 28, 2021

$974M

$459M

2019

Jan 24, 2020

$727M

$676M

$351M

2018

Jan 29, 2019

$238M

$195M

n/a

2017

Jan 26, 2018

$309M

n/a

2016

Jan 27, 2017

$4.8B

$643M

n/a

2015

Jan 29, 2016

$4.1B

$352M

n/a

2014

Jan 28, 2015

$2.5B

$337M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2023

$2.6B

$2.0B

29.1%

$974M

38.5%