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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

NORTHWATER CAPITAL MANAGEMENT INC.

CRD 112747

TORONTO, ONTARIO

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Search this name across graphsid dfx:ria:7c0494f3-7ee9-bf65-d81e-8462165562af

Data as of Nov 27, 2019 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 1
Observed: Mar 28, 2012 to Nov 27, 2019
14 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Venture Capitalidentity

Northwater Capital Management Inc.

Venture manager · shared crd

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: $5.4MItem 5.F on the latest filing (2019-11-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $5.4M
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: 5
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 2
Private funds: 2Schedule D 7.B(1)
Private fund GAV: $5.4Mgross asset value as reported per fund; never fund size
Custody, client assets: $0
SEC number: 801-60494
CRD: 112747
Filings on the tape: 14
First filed: Mar 28, 2012
Latest filed: Nov 27, 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
NORTHWATER INTELLECTUAL PROPERTY FUND L.P. 3A	Venture Capital Fund	$193M	Aug 17, 2016	2	Oct 3, 2012	dropped	n/a
NORTHWATER INTELLECTUAL PROPERTY FUND L.P. 1	Venture Capital Fund	$4.2M	Nov 27, 2019	8	Oct 3, 2012	reported	021-85971
NORTHWATER INTELLECTUAL PROPERTY FUND L.P. 2	Venture Capital Fund	$1.3M	Nov 27, 2019	5	Oct 3, 2012	reported	021-124202
EAST RIVER OFFSHORE LIMITED	Hedge Fund	$1.1M	Aug 17, 2016	1	Oct 3, 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
MILLS, DANIEL, CHARLES	MANAGING DIRECTOR, VICE-CHAIR AND DIRECTOR OF APPLICANT	Na	yes	08/2007	Mar 28, 2012	Nov 27, 2019
NORTHWATER CAPITAL INC.	100% OWNER OF NORTHWATER CAPITAL MANAGEMENT INC.	E	yes	08/2001	Mar 28, 2012	Nov 27, 2019
PATTERSON EQUITIES INC.	100% OWNER OF NORTHWATER CAPITAL INC.	E	yes	01/2010	Mar 28, 2012	Nov 27, 2019
PATTERSON, DAVID, GEORGE	CHAIR, CHIEF EXECUTIVE OFFICER AND DIRECTOR OF APPLICANT AND 91% OWNER OF PATTERSON EQUITIES INC.	Na	yes	08/2001	Mar 28, 2012	Nov 27, 2019
Cassidy, Shauna, Lynn	VICE-PRESIDENT AND CHIEF COMPLIANCE OFFICER	Na	no	03/2016	Mar 30, 2016	Nov 27, 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
CPOD MARKETS LLC	n/a	n/a	n/a	N	yes	n/a
NORTHWATER IP 1 GP INC.	n/a	n/a	n/a	N	yes	n/a
NORTHWATER IP 2 GP INC.	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 22, 2019	$5.4M	$5.4M	8	5	0	2	$5.4M
2017	Mar 27, 2018	$15.2M	$15.2M	9	3	0	2	$8.4M
2016	Mar 27, 2017	$38.9M	$38.9M	8	5	n/a	2	$12.1M
2015	Mar 30, 2016	$721M	$721M	21	10	n/a	4	$283M
2014	Mar 30, 2015	$894M	$894M	21	10	n/a	4	$422M
2013	Mar 27, 2014	$976M	$976M	20	12	n/a	4	$444M
2012	Apr 2, 2013	$957M	$957M	17	5	n/a	4	$404M
2011	Mar 28, 2012	$474M	$474M	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	$5.4M	$15.2M	-64.2%	$721M	-80.4%	8	9	0	0

Relationships

Advises (4)

→ NORTHWATER INTELLECTUAL PROPERTY FUND L.P. 1Private fundVenture Capital Fund, IA
Oct 3, 2012 to presentfactForm ADV
→ NORTHWATER INTELLECTUAL PROPERTY FUND L.P. 2Private fundVenture Capital Fund, IA
Oct 3, 2012 to presentfactForm ADV
→ EAST RIVER OFFSHORE LIMITEDPrivate fundHedge Fund, IA, no longer reported
Oct 3, 2012 to Aug 17, 2016factForm ADV
→ NORTHWATER INTELLECTUAL PROPERTY FUND L.P. 3APrivate fundVenture Capital Fund, IA, no longer reported
Oct 3, 2012 to Aug 17, 2016factForm ADV

Controls (4)

← PATTERSON, DAVID, GEORGEOwnerCHAIR, CHIEF EXECUTIVE OFFICER AND DIRECTOR OF APPLICANT AND 91% OWNER OF PATTERSON EQUITIES INC., ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← MILLS, DANIEL, CHARLESOwnerMANAGING DIRECTOR, VICE-CHAIR AND DIRECTOR OF APPLICANT, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← NORTHWATER CAPITAL INC.Owner100% OWNER OF NORTHWATER CAPITAL MANAGEMENT INC., ownership code E, foreign entity
Mar 28, 2012 to presentfactForm ADV
← PATTERSON EQUITIES INC.Owner100% OWNER OF NORTHWATER CAPITAL INC., ownership code E, foreign entity
Mar 28, 2012 to presentfactForm ADV

Owns (1)

← Cassidy, Shauna, LynnOwnerVICE-PRESIDENT AND CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 30, 2016 to presentfactForm ADV

Dated events

Occurred
Mar 22, 2019
Control person left
Nilesh Kothari (Chief Legal Officer) no longer on Schedule A of Northwater Capital Management Inc. (listed 2018-03-27, absent 2019-03-22)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7c0494f3-7ee9-bf65-d81e-8462165562af
First observed: Mar 28, 2012
Last observed: Nov 27, 2019 83 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.

NORTHWATER CAPITAL MANAGEMENT INC.

CRD 112747

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:7c0494f3-7ee9-bf65-d81e-8462165562af

Data as of Nov 27, 2019 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:47 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

NORTHWATER INTELLECTUAL PROPERTY FUND L.P. 3A

Venture Capital Fund

$193M

Aug 17, 2016

Oct 3, 2012

dropped

n/a

NORTHWATER INTELLECTUAL PROPERTY FUND L.P. 1

Venture Capital Fund

$4.2M

Nov 27, 2019

Oct 3, 2012

reported

021-85971

NORTHWATER INTELLECTUAL PROPERTY FUND L.P. 2

Venture Capital Fund

$1.3M

Nov 27, 2019

Oct 3, 2012

reported

021-124202

EAST RIVER OFFSHORE LIMITED

Hedge Fund

$1.1M

Aug 17, 2016

Oct 3, 2012

dropped

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

MILLS, DANIEL, CHARLES

MANAGING DIRECTOR, VICE-CHAIR AND DIRECTOR OF APPLICANT

yes

08/2007

Mar 28, 2012

Nov 27, 2019

NORTHWATER CAPITAL INC.

100% OWNER OF NORTHWATER CAPITAL MANAGEMENT INC.

yes

08/2001

Mar 28, 2012

Nov 27, 2019

PATTERSON EQUITIES INC.

100% OWNER OF NORTHWATER CAPITAL INC.

yes

01/2010

Mar 28, 2012

Nov 27, 2019

PATTERSON, DAVID, GEORGE

CHAIR, CHIEF EXECUTIVE OFFICER AND DIRECTOR OF APPLICANT AND 91% OWNER OF PATTERSON EQUITIES INC.

yes

08/2001

Mar 28, 2012

Nov 27, 2019

Cassidy, Shauna, Lynn

VICE-PRESIDENT AND CHIEF COMPLIANCE OFFICER

03/2016

Mar 30, 2016

Nov 27, 2019

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CPOD MARKETS LLC

n/a

yes

n/a

NORTHWATER IP 1 GP INC.

n/a

yes

n/a

NORTHWATER IP 2 GP INC.

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Mar 22, 2019

$5.4M

2017

Mar 27, 2018

$15.2M

$8.4M

2016

Mar 27, 2017

$38.9M

n/a

$12.1M

2015

Mar 30, 2016

$721M

n/a

$283M

2014

Mar 30, 2015

$894M

n/a

$422M

2013

Mar 27, 2014

$976M

n/a

$444M

2012

Apr 2, 2013

$957M

n/a

$404M

2011

Mar 28, 2012

$474M

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

$5.4M

$15.2M

-64.2%

$721M

-80.4%