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CRD 153125
TORONTO, ONTARIO
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| AUGUSTINE, JUDY, LORRAINE MARIE | CHIEF FINANCIAL OFFICER, SECRETARY-TREASURER AND MANAGING PARTNER, DIRECTOR, COMMON SHARES | B | yes | 01/1999 | Jan 31, 2012 | Jan 25, 2022 |
| JOHNSON, KATHY, LISA | CHIEF COMPLIANCE OFFICER | Na | yes | 05/2010 | Jan 31, 2012 | Jan 25, 2022 |
| KAULBACH, RONALD, EDWIN FRASER | CHAIRMAN, MANAGING PARTNER, DIRECTOR, COMMON SHARES | B | yes | 05/1981 | Jan 31, 2012 | Jan 25, 2022 |
| PEARS, MICHAEL, CRAIG | MANAGING PARTNER, DIRECTOR, COMMON SHARES | B | yes | 04/2000 | Jan 31, 2012 | Jan 25, 2022 |
| PROTOPOULOS, CATHERINE | ASSISTANT-TREASURER, COMMON SHARES | Na | yes | 04/2000 | Jan 31, 2012 | Jan 25, 2022 |
| SMITH, DONALD, CHRISTOPHER M. | MANAGING PARTNER, DIRECTOR, COMMON SHARES | B | yes | 09/1998 | Jan 31, 2012 | Jan 25, 2022 |
| WALSH, ROBERT, TERRENCE | PRESIDENT, CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER AND MANAGING PARTNER, DIRECTOR, COMMON SHARES | B | yes | 05/1981 | Jan 31, 2012 | Jan 25, 2022 |
| BROCK, LEITH, REGINALD | SHAREHOLDER, SERIES II SECOND PREFERRED SHARES | Na | no | 03/2001 | Jan 31, 2012 | Jan 25, 2022 |
| KALAPOS, ELIZABETH, JOLANDA | SHAREHOLDER, COMMON SHARES | Na | no | 10/2013 | Jan 13, 2014 | Jan 25, 2022 |
| MARZOTTO, MARC, GREGORY | SHAREHOLDER, SERIES I SIXTH PREFERRED SHARES | Na | no | 10/2013 | Jan 13, 2014 | Jan 25, 2022 |
| MICHNOWIEC, HELEN, HERMINE ROSA | SHAREHOLDER, COMMON SHARES | Na | no | 05/1981 | Jan 31, 2012 | Jan 25, 2022 |
| TAILLEFER, DENIS, MICHEL | SHAREHOLDER, SERIES I SIXTH PREFERRED SHARES | Na | no | 10/2013 | Jan 13, 2014 | Jan 25, 2022 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| GRYPHON INTERNATIONAL INVESTMENT CORPORATION | n/a | Former SEC adviser | $762M | Y | no | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| MONTREAL, QUEBEC | n/a | Canada | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2021 | Jan 25, 2022 | $127M | $127M | 7 | 4 | 1 | n/a | n/a |
| 2020 | Jan 27, 2021 | $134M | $134M | 11 | 6 | 1 | n/a | n/a |
| 2019 | Jan 30, 2020 | $282M | $282M | 11 | 6 | 1 | n/a | n/a |
| 2018 | Jan 28, 2019 | $240M | $240M | 11 | 6 | 1 | n/a | n/a |
| 2017 | Jan 29, 2018 | $271M | $271M | 11 | 6 | 1 | n/a | n/a |
| 2016 | Jan 30, 2017 | $291M | $291M | 11 | 6 | n/a | n/a | n/a |
| 2015 | Jan 27, 2016 | $568M | $568M | 12 | 7 | n/a | n/a | n/a |
| 2014 | Jan 30, 2015 | $771M | $771M | 12 | 7 | n/a | n/a | n/a |
| 2013 | Jan 13, 2014 | $837M | $837M | 11 | 6 | n/a | n/a | n/a |
| 2012 | Jan 29, 2013 | $1.0B | $1.0B | 12 | 7 | n/a | n/a | n/a |
| 2011 | Jan 31, 2012 | $1.1B | $1.1B | n/a | n/a | n/a | n/a | n/a |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2021 | $127M | $134M | -5.3% | $240M | -19.0% | 7 | 11 | 1 | 1 |