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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

FRAME GLOBAL ASSET MANAGEMENT LIMITED

CRD 282194

TORONTO

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:a5348b67-9f21-3972-c7cd-57ea8e397267

Data as of Sep 21, 2016 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Dec 21, 2015 to Sep 21, 2016
3 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
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 4
Advisory employees: 3
SEC number: 801-107094
CRD: 282194
Filings on the tape: 3
First filed: Dec 21, 2015
Latest filed: Sep 21, 2016
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
Dorna, Catherine	VICE PRESIDENT, PORTFOLIO MANAGER, PARTNER, SHAREHOLDER, CHIEF COMPLIANCE OFFICER	C	yes	10/2015	Dec 21, 2015	Sep 21, 2016
FRAME, DEBORAH, K	PRESIDENT, CHIEF INVESTMENT OFFICER, DIRECTOR, PARTNER, SHAREHOLDER	D	yes	10/2015	Dec 21, 2015	Sep 21, 2016
LYDON, THOMAS, FRANCIS	Director	Na	yes	10/2015	Dec 21, 2015	Sep 21, 2016
McIntyre, Richard	Director	Na	yes	10/2015	Dec 21, 2015	Sep 21, 2016
Millard, Drew, Scott	VICE PRESIDENT, PORTFOLIO MANAGER, PARTNER, SHAREHOLDER, CORPORATE SECRETARY	C	yes	10/2015	Dec 21, 2015	Sep 21, 2016

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
2016	Sep 21, 2016	n/a	n/a	4	3	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
2016	n/a	n/a	n/a	n/a	n/a	4	n/a	n/a	n/a

Relationships

Controls (5)

← LYDON, THOMAS, FRANCISOwnerDIRECTOR, ownership code NA, individual
Dec 21, 2015 to presentfactForm ADV
← FRAME, DEBORAH, KOwnerPRESIDENT, CHIEF INVESTMENT OFFICER, DIRECTOR, PARTNER, SHAREHOLDER, ownership code D, individual
Dec 21, 2015 to presentfactForm ADV
← Millard, Drew, ScottOwnerVICE PRESIDENT, PORTFOLIO MANAGER, PARTNER, SHAREHOLDER, CORPORATE SECRETARY, ownership code C, individual
Dec 21, 2015 to presentfactForm ADV
← Dorna, CatherineOwnerVICE PRESIDENT, PORTFOLIO MANAGER, PARTNER, SHAREHOLDER, CHIEF COMPLIANCE OFFICER, ownership code C, individual
Dec 21, 2015 to presentfactForm ADV
← McIntyre, RichardOwnerDIRECTOR, ownership code NA, individual
Dec 21, 2015 to presentfactForm ADV

Dated events

Occurred
Dec 21, 2015
First Form ADV filing
Frame Global Asset Management Limited filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a5348b67-9f21-3972-c7cd-57ea8e397267
First observed: Dec 21, 2015
Last observed: Sep 21, 2016 121 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.

FRAME GLOBAL ASSET MANAGEMENT LIMITED

CRD 282194

TORONTO

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:a5348b67-9f21-3972-c7cd-57ea8e397267

Data as of Sep 21, 2016 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:20 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

Dorna, Catherine

VICE PRESIDENT, PORTFOLIO MANAGER, PARTNER, SHAREHOLDER, CHIEF COMPLIANCE OFFICER

yes

10/2015

Dec 21, 2015

Sep 21, 2016

FRAME, DEBORAH, K

PRESIDENT, CHIEF INVESTMENT OFFICER, DIRECTOR, PARTNER, SHAREHOLDER

yes

10/2015

Dec 21, 2015

Sep 21, 2016

LYDON, THOMAS, FRANCIS

Director

yes

10/2015

Dec 21, 2015

Sep 21, 2016

McIntyre, Richard

Director

yes

10/2015

Dec 21, 2015

Sep 21, 2016

Millard, Drew, Scott

VICE PRESIDENT, PORTFOLIO MANAGER, PARTNER, SHAREHOLDER, CORPORATE SECRETARY

yes

10/2015

Dec 21, 2015

Sep 21, 2016

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Sep 21, 2016

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

n/a