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

SCOTIA INSTITUTIONAL ASSET MANAGEMENT US, LTD.

CRD 114257

TORONTO, ONTARIO

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:5bf27c72-a006-d570-0ecd-c5927405585c

Data as of Jan 25, 2019 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:44 PM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 0
On other graphs: 0
Observed: Nov 23, 2011 to Jan 25, 2019
27 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: $143MItem 5.F on the latest filing (2019-01-25); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $143M
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: 1
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1
SEC number: 801-49353
CRD: 114257
Filings on the tape: 27
First filed: Nov 23, 2011
Latest filed: Jan 25, 2019
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
DYNAMIC GROWTH OPPORTUNITIES OFFSHORE, LTD.	Hedge Fund	$2.5M	Nov 29, 2013	1	Jan 30, 2012	dropped	n/a
DYNAMIC ALPHA PERFORMANCE OFFSHORE, LTD.	Hedge Fund	$2.5M	Nov 29, 2013	1	Jan 30, 2012	dropped	n/a
DYNAMIC GROWTH OPPORTUNITIES MASTER, LTD.	Hedge Fund	$0	Nov 29, 2013	0	Jan 30, 2012	dropped	n/a
DYNAMIC ALPHA PERFORMANCE MASTER, LTD.	Hedge Fund	$0	Nov 29, 2013	0	Jan 30, 2012	dropped	n/a
DYNAMIC GROWTH OPPORTUNITIES, L.P.	Hedge Fund	$0	Nov 29, 2013	0	Jan 30, 2012	dropped	n/a
DYNAMIC ALPHA PERFORMANCE, L.P.	Hedge Fund	$0	Nov 29, 2013	0	Jan 30, 2012	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
1985275 ONTARIO INC.	Shareholder	E	yes	11/2017	Nov 13, 2017	Jan 25, 2019
FLICK, TODD, WINSTON	DIRECTOR AND CHIEF EXECUTIVE OFFICER	Na	yes	06/2017	Jul 5, 2017	Jan 25, 2019
PEREIRA, JOHN	Director	Na	yes	10/2015	Nov 23, 2011	Jan 25, 2019
THE BANK OF NOVA SCOTIA	Shareholder	E	yes	11/2017	Nov 23, 2011	Jan 25, 2019
Banks, Dana, Robyn	CHIEF COMPLIANCE OFFICER	Na	no	12/2018	Dec 13, 2018	Jan 25, 2019
JOSEPH, GREGORY	CHIEF FINANCIAL OFFICER	Na	no	02/2017	Mar 13, 2017	Jan 25, 2019
MIELNICZUK, SIMON	Secretary	Na	no	10/2015	Nov 4, 2015	Jan 25, 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
JARISLOWSKY, FRASER LIMITED	n/a	Former SEC adviser	$38B	N	yes	n/a
1832 ASSET MANAGEMENT U.S. INC.	n/a	Mixed wealth	$1.4B	N	yes	n/a
1832 ASSET MANAGEMENT L.P.	n/a	n/a	n/a	N	yes	n/a
SCOTIA CAPITAL (USA) INC.	n/a	n/a	n/a	N	yes	n/a
SCOTIA CAPITAL INC.	n/a	n/a	n/a	N	yes	n/a
SCOTIA MANAGED COMPANIES ADMINISTRATION INC.	n/a	n/a	n/a	N	yes	n/a
SCOTIA SECURITIES INC.	n/a	n/a	n/a	N	yes	n/a
SCOTIA WEALTH INSURANCE SERVICES INC.	n/a	n/a	n/a	N	yes	n/a
TANGERINE BANK	n/a	n/a	n/a	N	yes	n/a
TANGERINE INVESTMENT FUNDS LTD.	n/a	n/a	n/a	N	yes	n/a
TANGERINE INVESTMENT MANAGEMENT INC.	n/a	n/a	n/a	N	yes	n/a
THE BANK OF NOVA SCOTIA	n/a	n/a	n/a	Y	no	n/a
THE BANK OF NOVA SCOTIA TRUST COMPANY	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	Jan 25, 2019	$143M	$143M	1	1	0	n/a	n/a
2017	Jan 11, 2018	$149M	$149M	2	2	0	n/a	n/a
2016	Jan 27, 2017	$163M	$163M	6	6	n/a	n/a	n/a
2015	Jan 29, 2016	$210M	$210M	12	12	n/a	n/a	n/a
2014	Jan 29, 2015	$203M	$197M	12	12	n/a	n/a	n/a
2013	Jan 29, 2014	$226M	$217M	25	11	n/a	n/a	n/a
2012	Jan 31, 2013	$423M	$414M	25	11	n/a	6	$5.0M
2011	Jan 30, 2012	$396M	$389M	n/a	n/a	n/a	6	$5.0M

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	$143M	$149M	-3.8%	$210M	-11.9%	1	2	0	0

Relationships

Affiliated with (3)

→ JARISLOWSKY FRASER LTDRegistered adviserother investment adviser, common control
factForm ADV
→ 1832 ASSET MANAGEMENT U.S. INC.Registered adviserother investment adviser, common control
factForm ADV
← SCOTIA INSTITUTIONAL INVESTMENTS US, LPRegistered adviserother investment adviser, common control
factForm ADV

Controls (4)

← PEREIRA, JOHNOwnerDIRECTOR, ownership code NA, individual
Nov 23, 2011 to presentfactForm ADV
← FLICK, TODD, WINSTONOwnerDIRECTOR AND CHIEF EXECUTIVE OFFICER, ownership code NA, individual
Jul 5, 2017 to presentfactForm ADV
← 1985275 ONTARIO INC.OwnerSHAREHOLDER, ownership code E, foreign entity
Nov 13, 2017 to presentfactForm ADV
← THE BANK OF NOVA SCOTIAOwnerSHAREHOLDER, ownership code E, foreign entity
Nov 23, 2011 to presentfactForm ADV

Owns (3)

← Banks, Dana, RobynOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Dec 13, 2018 to presentfactForm ADV
← MIELNICZUK, SIMONOwnerSECRETARY, ownership code NA, individual
Nov 4, 2015 to presentfactForm ADV
← JOSEPH, GREGORYOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 13, 2017 to presentfactForm ADV

Advises (6)

→ DYNAMIC ALPHA PERFORMANCE OFFSHORE, LTD.Private fundHedge Fund, IA, no longer reported
Jan 30, 2012 to Nov 29, 2013factForm ADV
→ DYNAMIC ALPHA PERFORMANCE, L.P.Private fundHedge Fund, IA, no longer reported
Jan 30, 2012 to Nov 29, 2013factForm ADV
→ DYNAMIC GROWTH OPPORTUNITIES OFFSHORE, LTD.Private fundHedge Fund, IA, no longer reported
Jan 30, 2012 to Nov 29, 2013factForm ADV
→ DYNAMIC GROWTH OPPORTUNITIES MASTER, LTD.Private fundHedge Fund, IA, no longer reported
Jan 30, 2012 to Nov 29, 2013factForm ADV
→ DYNAMIC ALPHA PERFORMANCE MASTER, LTD.Private fundHedge Fund, IA, no longer reported
Jan 30, 2012 to Nov 29, 2013factForm ADV
→ DYNAMIC GROWTH OPPORTUNITIES, L.P.Private fundHedge Fund, IA, no longer reported
Jan 30, 2012 to Nov 29, 2013factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5bf27c72-a006-d570-0ecd-c5927405585c
First observed: Nov 23, 2011
Last observed: Jan 25, 2019 93 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.

SCOTIA INSTITUTIONAL ASSET MANAGEMENT US, LTD.

CRD 114257

TORONTO, ONTARIO

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:5bf27c72-a006-d570-0ecd-c5927405585c

Data as of Jan 25, 2019 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:44 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

DYNAMIC GROWTH OPPORTUNITIES OFFSHORE, LTD.

Hedge Fund

$2.5M

Nov 29, 2013

Jan 30, 2012

dropped

n/a

DYNAMIC ALPHA PERFORMANCE OFFSHORE, LTD.

Hedge Fund

$2.5M

Nov 29, 2013

Jan 30, 2012

dropped

n/a

DYNAMIC GROWTH OPPORTUNITIES MASTER, LTD.

Hedge Fund

Nov 29, 2013

Jan 30, 2012

dropped

n/a

DYNAMIC ALPHA PERFORMANCE MASTER, LTD.

Hedge Fund

Nov 29, 2013

Jan 30, 2012

dropped

n/a

DYNAMIC GROWTH OPPORTUNITIES, L.P.

Hedge Fund

Nov 29, 2013

Jan 30, 2012

dropped

n/a

DYNAMIC ALPHA PERFORMANCE, L.P.

Hedge Fund

Nov 29, 2013

Jan 30, 2012

dropped

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

1985275 ONTARIO INC.

Shareholder

yes

11/2017

Nov 13, 2017

Jan 25, 2019

FLICK, TODD, WINSTON

DIRECTOR AND CHIEF EXECUTIVE OFFICER

yes

06/2017

Jul 5, 2017

Jan 25, 2019

PEREIRA, JOHN

Director

yes

10/2015

Nov 23, 2011

Jan 25, 2019

THE BANK OF NOVA SCOTIA

Shareholder

yes

11/2017

Nov 23, 2011

Jan 25, 2019

Banks, Dana, Robyn

CHIEF COMPLIANCE OFFICER

12/2018

Dec 13, 2018

Jan 25, 2019

JOSEPH, GREGORY

CHIEF FINANCIAL OFFICER

02/2017

Mar 13, 2017

Jan 25, 2019

MIELNICZUK, SIMON

Secretary

10/2015

Nov 4, 2015

Jan 25, 2019

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

JARISLOWSKY, FRASER LIMITED

n/a

Former SEC adviser

$38B

yes

n/a

1832 ASSET MANAGEMENT U.S. INC.

n/a

Mixed wealth

$1.4B

yes

n/a

1832 ASSET MANAGEMENT L.P.

n/a

yes

n/a

SCOTIA CAPITAL (USA) INC.

n/a

yes

n/a

SCOTIA CAPITAL INC.

n/a

yes

n/a

SCOTIA MANAGED COMPANIES ADMINISTRATION INC.

n/a

yes

n/a

SCOTIA SECURITIES INC.

n/a

yes

n/a

SCOTIA WEALTH INSURANCE SERVICES INC.

n/a

yes

n/a

TANGERINE BANK

n/a

yes

n/a

TANGERINE INVESTMENT FUNDS LTD.

n/a

yes

n/a

TANGERINE INVESTMENT MANAGEMENT INC.

n/a

yes

n/a

THE BANK OF NOVA SCOTIA

n/a

THE BANK OF NOVA SCOTIA TRUST COMPANY

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Jan 25, 2019

$143M

n/a

2017

Jan 11, 2018

$149M

n/a

2016

Jan 27, 2017

$163M

n/a

2015

Jan 29, 2016

$210M

n/a

2014

Jan 29, 2015

$203M

$197M

n/a

2013

Jan 29, 2014

$226M

$217M

n/a

2012

Jan 31, 2013

$423M

$414M

n/a

$5.0M

2011

Jan 30, 2012

$396M

$389M

n/a

$5.0M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2018

$143M

$149M

-3.8%

$210M

-11.9%