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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

LOMBARD ODIER TRANSATLANTIC LIMITED

CRD 6318

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:252fc953-90c0-7ae6-597e-658fb5475eae

Data as of Mar 20, 2019 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:28 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Dec 15, 2011 to Mar 20, 2019
25 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: $467MItem 5.F on the latest filing (2019-03-20); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $384M
Private client RAUM: $339MderivedItem 5.D individuals plus high net worth individuals
Private client share: 73%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 8
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 88
High net worth clients: 63
SEC number: 801-112125
CRD: 6318
Filings on the tape: 25
First filed: Dec 15, 2011
Latest filed: Mar 20, 2019
Organised: Corporation

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
COMPAGNIE LOMBARD ODIER SCMA	100% SHAREHOLDER	E	yes	12/2016	Jul 6, 2017	Mar 20, 2019
DOREY, ROBERT WALLACE	DIRECTOR, CHIEF FINANCIAL OFFICER & TREASURER	Na	yes	10/1998	Dec 15, 2011	Mar 20, 2019
LO HOLDINGS SA	Shareholder	E	yes	12/2016	Mar 21, 2017	Mar 20, 2019
LOMBARD ODIER & PARTNERS SCM	100% SHAREHOLDER	E	yes	12/2016	Jul 6, 2017	Mar 20, 2019
CITTE, YANN	CHIEF EXECUTIVE OFFICER	Na	no	10/2012	Nov 28, 2012	Mar 20, 2019
WILSON, CHARLES JOSH	CHIEF COMPLIANCE OFFICER	Na	no	01/2016	Jan 11, 2016	Mar 20, 2019

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
BANK LOMBARD ODIER & CO LTD	n/a	n/a	n/a	N	no	n/a
LOMBARD ODIER (SINGAPORE) LTD.	n/a	n/a	n/a	N	yes	n/a
LOMBARD ODIER (EUROPE) S.A. LUXEMBOURG, BELGIUM BRANCH	n/a	n/a	n/a	N	yes	n/a
LOMBARD ODIER (EUROPE) S.A. UK BRANCH	n/a	n/a	n/a	N	yes	n/a
LOMBARD ODIER (EUROPE) S.A., NETHERLANDS BRANCH	n/a	n/a	n/a	N	yes	n/a
LOMBARD ODIER (EUROPE) S.A., SUCURSAL EN ESPA?A	n/a	n/a	n/a	N	yes	n/a
LOMBARD ODIER (HONG KONG) LIMITED	n/a	n/a	n/a	N	yes	n/a
LOMBARD ODIER & CIE ( GIBRALTAR) LIMITED	n/a	n/a	n/a	N	yes	n/a
LOMBARD ODIER & CIE (BAHAMAS) LIMITED	n/a	n/a	n/a	N	yes	n/a
LOMBARD ODIER & CIE (CANADA), LIMITED PARTNERSHIP	n/a	n/a	n/a	N	yes	n/a
LOMBARD ODIER ASSET MANAGEMENT (EUROPE) LIMITED	n/a	n/a	n/a	N	yes	n/a
LOMBARD ODIER EUROPE SA (FRANCE) BRANCH	n/a	n/a	n/a	N	yes	n/a
LOMBARD ODIER GESTION (ESPA?A), SGIIC, S.A.	n/a	n/a	n/a	N	yes	n/a
LOMBARD ODIER SECURITIES (CANADA) INC.	n/a	n/a	n/a	N	yes	n/a
LOMBARD ODIER TRUST (BERMUDA) LIMITED	n/a	n/a	n/a	N	yes	n/a
LOMBARD ODIER TRUST (JAPAN) LIMITED	n/a	n/a	n/a	N	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
2018	Mar 20, 2019	$467M	$384M	8	2	0	n/a	n/a
2017	Mar 29, 2018	$737M	$578M	13	2	0	n/a	n/a
2016	Mar 21, 2017	$478M	$387M	20	3	n/a	n/a	n/a
2015	Mar 16, 2016	$398M	$305M	20	3	n/a	n/a	n/a
2014	Mar 31, 2015	$388M	$344M	20	5	n/a	n/a	n/a
2013	Mar 27, 2014	$263M	$185M	19	4	n/a	n/a	n/a
2012	Mar 27, 2013	$197M	$162M	10	5	n/a	n/a	n/a
2011	Jan 26, 2012	$38.7M	$27.1M	n/a	n/a	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
2018	$467M	$737M	-36.7%	$398M	5.5%	8	13	0	0

Relationships

Controls (4)

← DOREY, ROBERT WALLACEOwnerDIRECTOR, CHIEF FINANCIAL OFFICER & TREASURER, ownership code NA, individual
Dec 15, 2011 to presentfactForm ADV
← COMPAGNIE LOMBARD ODIER SCMAOwner100% SHAREHOLDER, ownership code E, foreign entity
Jul 6, 2017 to presentfactForm ADV
← LO HOLDINGS SAOwnerSHAREHOLDER, ownership code E, foreign entity
Mar 21, 2017 to presentfactForm ADV
← LOMBARD ODIER & PARTNERS SCMOwner100% SHAREHOLDER, ownership code E, foreign entity
Jul 6, 2017 to presentfactForm ADV

Owns (2)

← CITTE, YANNOwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Nov 28, 2012 to presentfactForm ADV
← WILSON, CHARLES JOSHOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 11, 2016 to presentfactForm ADV

Dated events

Occurred
Mar 29, 2018
Regulatory AUM changed
Lombard Odier Transatlantic Limited reported RAUM $736.9M, up 35% from $545.0M (2018-03-28 to 2018-03-29)
Form ADVobserved 5 days ago
$192M
Occurred
Jul 6, 2017
Succession filed (Item 4)
Lombard Odier Transatlantic Limited reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:252fc953-90c0-7ae6-597e-658fb5475eae
First observed: Dec 15, 2011
Last observed: Mar 20, 2019 91 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.

LOMBARD ODIER TRANSATLANTIC LIMITED

CRD 6318

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:252fc953-90c0-7ae6-597e-658fb5475eae

Data as of Mar 20, 2019 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:28 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

COMPAGNIE LOMBARD ODIER SCMA

100% SHAREHOLDER

yes

12/2016

Jul 6, 2017

Mar 20, 2019

DOREY, ROBERT WALLACE

DIRECTOR, CHIEF FINANCIAL OFFICER & TREASURER

yes

10/1998

Dec 15, 2011

Mar 20, 2019

LO HOLDINGS SA

Shareholder

yes

12/2016

Mar 21, 2017

Mar 20, 2019

LOMBARD ODIER & PARTNERS SCM

100% SHAREHOLDER

yes

12/2016

Jul 6, 2017

Mar 20, 2019

CITTE, YANN

CHIEF EXECUTIVE OFFICER

10/2012

Nov 28, 2012

Mar 20, 2019

WILSON, CHARLES JOSH

CHIEF COMPLIANCE OFFICER

01/2016

Jan 11, 2016

Mar 20, 2019

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

BANK LOMBARD ODIER & CO LTD

n/a

LOMBARD ODIER (SINGAPORE) LTD.

n/a

yes

n/a

LOMBARD ODIER (EUROPE) S.A. LUXEMBOURG, BELGIUM BRANCH

n/a

yes

n/a

LOMBARD ODIER (EUROPE) S.A. UK BRANCH

n/a

yes

n/a

LOMBARD ODIER (EUROPE) S.A., NETHERLANDS BRANCH

n/a

yes

n/a

LOMBARD ODIER (EUROPE) S.A., SUCURSAL EN ESPA?A

n/a

yes

n/a

LOMBARD ODIER (HONG KONG) LIMITED

n/a

yes

n/a

LOMBARD ODIER & CIE ( GIBRALTAR) LIMITED

n/a

yes

n/a

LOMBARD ODIER & CIE (BAHAMAS) LIMITED

n/a

yes

n/a

LOMBARD ODIER & CIE (CANADA), LIMITED PARTNERSHIP

n/a

yes

n/a

LOMBARD ODIER ASSET MANAGEMENT (EUROPE) LIMITED

n/a

yes

n/a

LOMBARD ODIER EUROPE SA (FRANCE) BRANCH

n/a

yes

n/a

LOMBARD ODIER GESTION (ESPA?A), SGIIC, S.A.

n/a

yes

n/a

LOMBARD ODIER SECURITIES (CANADA) INC.

n/a

yes

n/a

LOMBARD ODIER TRUST (BERMUDA) LIMITED

n/a

yes

n/a

LOMBARD ODIER TRUST (JAPAN) LIMITED

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Mar 20, 2019

$467M

$384M

n/a

2017

Mar 29, 2018

$737M

$578M

n/a

2016

Mar 21, 2017

$478M

$387M

n/a

2015

Mar 16, 2016

$398M

$305M

n/a

2014

Mar 31, 2015

$388M

$344M

n/a

2013

Mar 27, 2014

$263M

$185M

n/a

2012

Mar 27, 2013

$197M

$162M

n/a

2011

Jan 26, 2012

$38.7M

$27.1M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2018

$467M

$737M

-36.7%

$398M

5.5%