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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM none

CAPITAL GUARDIAN (CANADA), INC.

CRD 110681

LOS ANGELES, CA

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:d9bb7c3c-0cd8-749b-c9af-3cee08a34461

Data as of Dec 9, 2024 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 21
Dated events: 12
On other graphs: 0
Observed: Dec 22, 2011 to Dec 9, 2024
25 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: 1
Advisory employees: 1
Offices: 1Schedule D 1.F, beyond the principal office
SEC number: 801-56526
CRD: 110681
Filings on the tape: 25
First filed: Dec 22, 2011
Latest filed: Dec 9, 2024
Organised: Corporation, California

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
BURGE, JEREMY, HOWARD	DIRECTOR, CHAIRMAN	Na	yes	09/2010	Dec 22, 2011	Dec 9, 2024
CAPITAL GROUP INTERNATIONAL, INC.	Shareholder	E	yes	04/1998	Dec 22, 2011	Dec 9, 2024
CAPITAL INTERNATIONAL, INC.	Shareholder	E	yes	07/2019	Sep 27, 2019	Dec 9, 2024
CAPITAL RESEARCH AND MANAGEMENT COMPANY	Shareholder	E	yes	07/2014	Sep 27, 2019	Dec 9, 2024
HEADRICK, RICK	Director	Na	yes	01/2020	Jan 23, 2020	Dec 9, 2024
NIXON, NASEEM, ZARIFEH SAHAR	CHIEF COMPLIANCE OFFICER	Na	yes	06/2024	Jun 7, 2024	Dec 9, 2024
PHILLIPS, ADAM, WALKER	DIRECTOR AND TREASURER	Na	yes	03/2023	Mar 30, 2023	Dec 9, 2024
THE CAPITAL GROUP COMPANIES, INC.	Shareholder	E	yes	02/1967	Dec 22, 2011	Dec 9, 2024

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
CAPITAL RESEARCH AND MANAGEMENT COMPANY	n/a	Asset manager	$3754B	Y	yes	n/a
CAPITAL BANK AND TRUST COMPANY	n/a	Asset manager	$139B	N	yes	n/a
CAPITAL INTERNATIONAL, INC.	n/a	Other adviser	$52B	N	yes	n/a
CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.	n/a	Independent wealth	$43B	N	yes	n/a
CAPITAL RESEARCH COMPANY	n/a	No RAUM reported	$0	N	yes	n/a
CAPITAL INTERNATIONAL ASSET MANAGEMENT (CANADA), INC.	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
TORONTO, ONTARIO	n/a	Canada	1	no

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
2024	Sep 27, 2024	n/a	n/a	1	1	1	n/a	n/a
2023	Sep 28, 2023	n/a	n/a	1	1	1	n/a	n/a
2022	Sep 28, 2022	n/a	n/a	1	1	1	n/a	n/a
2021	Sep 28, 2021	n/a	n/a	1	1	1	n/a	n/a
2020	Sep 28, 2020	n/a	n/a	1	1	1	n/a	n/a
2019	Sep 27, 2019	n/a	n/a	1	1	1	n/a	n/a
2018	Sep 28, 2018	n/a	n/a	1	1	1	n/a	n/a
2017	Sep 28, 2017	n/a	n/a	1	1	n/a	n/a	n/a
2016	Sep 28, 2016	n/a	n/a	3	3	n/a	n/a	n/a
2015	Sep 25, 2015	n/a	n/a	3	3	n/a	n/a	n/a
2014	Sep 29, 2014	n/a	n/a	3	3	n/a	n/a	n/a
2013	Sep 26, 2013	n/a	n/a	3	3	n/a	n/a	n/a
2012	Sep 28, 2012	n/a	n/a	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
2024	n/a	n/a	n/a	n/a	n/a	1	1	1	1

Relationships

Affiliated with (13)

← CAPITAL RESEARCH AND MANAGEMENT COMPANYRegistered adviserother investment adviser, control, common control
factForm ADV
← CAPITAL INTERNATIONAL, INC.Registered adviserother investment adviser, control, common control
factForm ADV
← CAPITAL RESEARCH COMPANYRegistered adviserother investment adviser, common control
factForm ADV
← CAPITAL BANK AND TRUST COMPANYRegistered adviserother investment adviser, common control
factForm ADV
← CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.Registered adviserother investment adviser, common control
factForm ADV
→ CAPITAL INTERNATIONAL, INC.Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ CAPITAL RESEARCH COMPANYRegistered adviserother investment adviser, common control
factForm ADV
→ CAPITAL RESEARCH AND MANAGEMENT COMPANYRegistered adviserother investment adviser, bank, control, common control
factForm ADV
→ CAPITAL BANK AND TRUST COMPANYRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.Registered adviserother investment adviser, bank, common control
factForm ADV
← CAPITAL GROUP PRIVATE MARKETS, INC.Registered adviserother investment adviser, common control
factForm ADV
← CAPITAL GUARDIAN TRUST COMPANYRegistered adviserother investment adviser, control, common control
factForm ADV
← CAPITAL INTERNATIONAL RESEARCH, INC.Registered adviserother investment adviser, common control
factForm ADV

Controls (7)

← CAPITAL INTERNATIONAL, INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Sep 27, 2019 to presentfactForm ADV
← CAPITAL RESEARCH AND MANAGEMENT COMPANYOwnerSHAREHOLDER, ownership code E, domestic entity
Sep 27, 2019 to presentfactForm ADV
← BURGE, JEREMY, HOWARDOwnerDIRECTOR, CHAIRMAN, ownership code NA, individual
Dec 22, 2011 to presentfactForm ADV
← PHILLIPS, ADAM, WALKEROwnerDIRECTOR AND TREASURER, ownership code NA, individual
Mar 30, 2023 to presentfactForm ADV
← HEADRICK, RICKOwnerDIRECTOR, ownership code NA, individual
Jan 23, 2020 to presentfactForm ADV
← NIXON, NASEEM, ZARIFEH SAHAROwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jun 7, 2024 to presentfactForm ADV
← THE CAPITAL GROUP COMPANIES, INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Dec 22, 2011 to presentfactForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Jun 7, 2024
Control person left
Yungtai Herbert Poon (Chief Compliance Officer) no longer on Schedule A of Capital Guardian (Canada), Inc. (listed 2023-12-06, absent 2024-06-07)
Form ADVobserved 5 days ago
Occurred
Jun 7, 2024
Control person joined
Zarifeh Sahar Naseem Nixon (Chief Compliance Officer) appeared on Schedule A of Capital Guardian (Canada), Inc.
Form ADVobserved 5 days ago
Occurred
Dec 6, 2023
Control person left
Moran Jessica Zerges (Chief Compliance Officer & Secretary) no longer on Schedule A of Capital Guardian (Canada), Inc. (listed 2023-09-28, absent 2023-12-06)
Form ADVobserved 5 days ago
Occurred
Dec 6, 2023
Control person joined
Yungtai Herbert Poon (Chief Compliance Officer) appeared on Schedule A of Capital Guardian (Canada), Inc.
Form ADVobserved 5 days ago
Occurred
Mar 30, 2023
Control person left
Randall Todd Wagner (Director And Treasurer) no longer on Schedule A of Capital Guardian (Canada), Inc. (listed 2022-09-28, absent 2023-03-30)
Form ADVobserved 5 days ago
Occurred
Mar 30, 2023
Control person joined
Walker Adam Phillips (Director And Treasurer) appeared on Schedule A of Capital Guardian (Canada), Inc.
Form ADVobserved 5 days ago
Occurred
Jan 23, 2020
Control person left
Arthur Mark Tiffin (Director) no longer on Schedule A of Capital Guardian (Canada), Inc. (listed 2019-09-27, absent 2020-01-23)
Form ADVobserved 5 days ago
Occurred
Jan 23, 2020
Control person left
Marie Jane Scofield (Chief Compliance Officer) no longer on Schedule A of Capital Guardian (Canada), Inc. (listed 2019-09-27, absent 2020-01-23)
Form ADVobserved 5 days ago
Occurred
Jan 23, 2020
Control person joined
Rick Headrick (Director) appeared on Schedule A of Capital Guardian (Canada), Inc.
Form ADVobserved 5 days ago
Occurred
Jan 23, 2020
Control person joined
Moran Jessica Zerges (Chief Compliance Officer) appeared on Schedule A of Capital Guardian (Canada), Inc.
Form ADVobserved 5 days ago
Occurred
Sep 27, 2019
Control person left
Anthony Michael Felix (Senior Vice President & Treasurer) no longer on Schedule A of Capital Guardian (Canada), Inc. (listed 2018-09-28, absent 2019-09-27)
Form ADVobserved 5 days ago

Show 1 bookkeeping events

Occurred
Dec 20, 2025
Capital Guardian (Canada), Inc. no longer on the SEC adviser roster (last listed 2025-09-02)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d9bb7c3c-0cd8-749b-c9af-3cee08a34461
First observed: Dec 22, 2011
Last observed: Dec 9, 2024 21 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.

CAPITAL GUARDIAN (CANADA), INC.

CRD 110681

LOS ANGELES, CA

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:d9bb7c3c-0cd8-749b-c9af-3cee08a34461

Data as of Dec 9, 2024 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:52 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BURGE, JEREMY, HOWARD

DIRECTOR, CHAIRMAN

yes

09/2010

Dec 22, 2011

Dec 9, 2024

CAPITAL GROUP INTERNATIONAL, INC.

Shareholder

yes

04/1998

Dec 22, 2011

Dec 9, 2024

CAPITAL INTERNATIONAL, INC.

Shareholder

yes

07/2019

Sep 27, 2019

Dec 9, 2024

CAPITAL RESEARCH AND MANAGEMENT COMPANY

Shareholder

yes

07/2014

Sep 27, 2019

Dec 9, 2024

HEADRICK, RICK

Director

yes

01/2020

Jan 23, 2020

Dec 9, 2024

NIXON, NASEEM, ZARIFEH SAHAR

CHIEF COMPLIANCE OFFICER

yes

06/2024

Jun 7, 2024

Dec 9, 2024

PHILLIPS, ADAM, WALKER

DIRECTOR AND TREASURER

yes

03/2023

Mar 30, 2023

Dec 9, 2024

THE CAPITAL GROUP COMPANIES, INC.

Shareholder

yes

02/1967

Dec 22, 2011

Dec 9, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CAPITAL RESEARCH AND MANAGEMENT COMPANY

n/a

Asset manager

$3754B

yes

n/a

CAPITAL BANK AND TRUST COMPANY

n/a

Asset manager

$139B

yes

n/a

CAPITAL INTERNATIONAL, INC.

n/a

Other adviser

$52B

yes

n/a

CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.

n/a

Independent wealth

$43B

yes

n/a

CAPITAL RESEARCH COMPANY

n/a

No RAUM reported

yes

n/a

CAPITAL INTERNATIONAL ASSET MANAGEMENT (CANADA), INC.

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

TORONTO, ONTARIO

n/a

Canada

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2024

Sep 27, 2024

n/a

2023

Sep 28, 2023

n/a

2022

Sep 28, 2022

n/a

2021

Sep 28, 2021

n/a

2020

Sep 28, 2020

n/a

2019

Sep 27, 2019

n/a

2018

Sep 28, 2018

n/a

2017

Sep 28, 2017

n/a

2016

Sep 28, 2016

n/a

2015

Sep 25, 2015

n/a

2014

Sep 29, 2014

n/a

2013

Sep 26, 2013

n/a

2012

Sep 28, 2012

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2024

n/a