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

SCOTIA INSTITUTIONAL INVESTMENTS US, LP

CRD 141202

BERWYN, PA

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:67077174-28fb-9514-4d8f-440137152dfb

Data as of Feb 5, 2014 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 0
On other graphs: 0
Observed: Jan 30, 2012 to Feb 5, 2014
7 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: $175MItem 5.F on the latest filing (2014-02-05); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $175M
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: 8
Advisory employees: 2
Accounts: 4
SEC number: 801-67074
CRD: 141202
Filings on the tape: 7
First filed: Jan 30, 2012
Latest filed: Feb 5, 2014
Organised: Partnership, Delaware

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
2178991 ONTARIO INC	Member	E	yes	07/2008	Jan 30, 2012	Feb 5, 2014
2178991 ONTARIO INC.	LIMITED PARTNER	E	yes	07/2008	Jan 30, 2012	Feb 5, 2014
DW US PARTNERS, LLC	GENERAL PARTNER	Na	yes	10/2006	Jan 30, 2012	Feb 5, 2014
HOLLISWEALTH INC.	Shareholder	E	yes	07/2008	Nov 1, 2013	Feb 5, 2014
LACEY, ROBIN, PHILIP CHRISTIAN	MANAGER OF THE GENERAL PARTNER	Na	yes	10/2013	Feb 5, 2014	Feb 5, 2014
LEVEN, JOHN, HAROLD	DIRECTOR - FINANCE	Na	yes	09/2006	Jan 30, 2012	Feb 5, 2014
THE BANK OF NOVA SCOTIA	Shareholder	E	yes	02/2011	Jan 30, 2012	Feb 5, 2014
WINSKO, KRISTEN, NOLAN	CHIEF COMPLIANCE OFFICER AND LEGAL COUNSEL	Na	yes	01/2012	Jan 30, 2012	Feb 5, 2014

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
1832 ASSET MANAGEMENT U.S. INC.	n/a	Mixed wealth	$1.4B	N	yes	n/a
SCOTIA INSTITUTIONAL ASSET MANAGEMENT US, LTD.	n/a	Former SEC adviser	$143M	N	yes	n/a
AURION CAPITAL MANAGEMENT INC	n/a	n/a	n/a	N	yes	n/a
HOLLISWEALTH ADVISORY SERVICES INC.	n/a	n/a	n/a	N	yes	n/a
HOLLISWEALTH S.A.	n/a	n/a	n/a	N	yes	n/a
ING DIRECT ASSET MANAGEMENT LTD.	n/a	n/a	n/a	N	yes	n/a
ING DIRECT FUNDS LIMITED	n/a	n/a	n/a	N	yes	n/a
SCOTIA 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
SCOTIAMCLEOD FINANCIAL SERVICES INC.	n/a	n/a	n/a	N	yes	n/a
THE BANK OF NOVA SCOTIA	n/a	n/a	n/a	Y	yes	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
2013	Feb 5, 2014	$175M	$175M	8	2	n/a	n/a	n/a
2012	Feb 4, 2013	$475M	$475M	17	2	n/a	n/a	n/a
2011	Jan 31, 2012	$283M	$283M	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
2013	$175M	$475M	-63.1%	n/a	n/a	8	17	n/a	n/a

Relationships

Affiliated with (2)

→ SCOTIA INSTITUTIONAL ASSET MANAGEMENT US, LTD.Registered adviserother investment adviser, common control
factForm ADV
→ 1832 ASSET MANAGEMENT U.S. INC.Registered adviserother investment adviser, common control
factForm ADV

Controls (7)

← LEVEN, JOHN, HAROLDOwnerDIRECTOR - FINANCE, ownership code NA, individual
Jan 30, 2012 to presentfactForm ADV
← WINSKO, KRISTEN, NOLANOwnerCHIEF COMPLIANCE OFFICER AND LEGAL COUNSEL, ownership code NA, individual
Jan 30, 2012 to presentfactForm ADV
← LACEY, ROBIN, PHILIP CHRISTIANOwnerMANAGER OF THE GENERAL PARTNER, ownership code NA, individual
Feb 5, 2014 to presentfactForm ADV
← 2178991 ONTARIO INCOwnerMEMBER, ownership code E, foreign entity
Jan 30, 2012 to presentfactForm ADV
← DW US PARTNERS, LLCOwnerGENERAL PARTNER, ownership code NA, domestic entity
Jan 30, 2012 to presentfactForm ADV
← HOLLISWEALTH INC.OwnerSHAREHOLDER, ownership code E, foreign entity
Nov 1, 2013 to presentfactForm ADV
← THE BANK OF NOVA SCOTIAOwnerSHAREHOLDER, ownership code E, foreign entity
Jan 30, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:67077174-28fb-9514-4d8f-440137152dfb
First observed: Jan 30, 2012
Last observed: Feb 5, 2014 153 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 INVESTMENTS US, LP

CRD 141202

BERWYN, PA

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:67077174-28fb-9514-4d8f-440137152dfb

Data as of Feb 5, 2014 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:11 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

2178991 ONTARIO INC

Member

yes

07/2008

Jan 30, 2012

Feb 5, 2014

2178991 ONTARIO INC.

LIMITED PARTNER

yes

07/2008

Jan 30, 2012

Feb 5, 2014

DW US PARTNERS, LLC

GENERAL PARTNER

yes

10/2006

Jan 30, 2012

Feb 5, 2014

HOLLISWEALTH INC.

Shareholder

yes

07/2008

Nov 1, 2013

Feb 5, 2014

LACEY, ROBIN, PHILIP CHRISTIAN

MANAGER OF THE GENERAL PARTNER

yes

10/2013

Feb 5, 2014

LEVEN, JOHN, HAROLD

DIRECTOR - FINANCE

yes

09/2006

Jan 30, 2012

Feb 5, 2014

THE BANK OF NOVA SCOTIA

Shareholder

yes

02/2011

Jan 30, 2012

Feb 5, 2014

WINSKO, KRISTEN, NOLAN

CHIEF COMPLIANCE OFFICER AND LEGAL COUNSEL

yes

01/2012

Jan 30, 2012

Feb 5, 2014

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

1832 ASSET MANAGEMENT U.S. INC.

n/a

Mixed wealth

$1.4B

yes

n/a

SCOTIA INSTITUTIONAL ASSET MANAGEMENT US, LTD.

n/a

Former SEC adviser

$143M

yes

n/a

AURION CAPITAL MANAGEMENT INC

n/a

yes

n/a

HOLLISWEALTH ADVISORY SERVICES INC.

n/a

yes

n/a

HOLLISWEALTH S.A.

n/a

yes

n/a

ING DIRECT ASSET MANAGEMENT LTD.

n/a

yes

n/a

ING DIRECT FUNDS LIMITED

n/a

yes

n/a

SCOTIA 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

SCOTIAMCLEOD FINANCIAL SERVICES INC.

n/a

yes

n/a

THE BANK OF NOVA SCOTIA

n/a

yes

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

2013

Feb 5, 2014

$175M

n/a

2012

Feb 4, 2013

$475M

n/a

2011

Jan 31, 2012

$283M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2013

$175M

$475M

-63.1%

n/a