Scotia Institutional Asset Management Us, Ltd. (Toronto, Ontario)

Scotia Institutional Asset Management Us, Ltd. is an adviser based in Toronto, Ontario. It manages $143.45 million of regulatory assets for 1 client accounts. It has been registered with the SEC as an adviser since 2014 and has operated in the jurisdictions of Florida, Hawaii, and New York.

Scotia Institutional Asset Management Us provides portfolio management for individuals and small businesses and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Scotia Institutional Asset Management Us: assets under management

The assets under management (AUM) of Scotia Institutional Asset Management Us, Ltd. is $143.45 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -37% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $143.45 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $143.45 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Scotia Institutional Asset Management Us, Ltd. for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients John Pereira serves?

The only and largest group of clients of John Pereira is investment companies with 1 clients and $143.45 million of assets under management. Among the 11 most similar advisory firms, Scotia Institutional Asset Management Us has the highest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $143.45 million for 1 clients. None of the firm’s clients are foreign persons or businesses.

Scotia Institutional Asset Management Us doesn't advise any private funds.

Careers at Scotia Institutional Asset Management Us, Ltd.

The company employs 1 person that is either a part- or full-time employee. 100 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees receive compensation from other entities for client referrals.

John Pereira has been acting as President since 1 Oct 2015. Dana Robyn Banks joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Gcic Ltd.	Shareholder	1 Apr 1998	75% - 100%	foreign
John Pereira	Director	1 Oct 2011	Other	5339121
Roxana Tavana	Associate general counsel & head of legal, global asset management	1 Jan 2012	Other	6158774
Robin Philip Christian Lacey	Director and president	1 Jun 2013	Other	4449426
Edna Angelina Chu	Chief compliance officer	1 Nov 2013	Other	4935256
Walter Antonio Pavan	Chief financial officer	1 Nov 2013	Other	5908856
Stephen Middleton Morson	Director and chief financial officer	1 May 2014	Other	6407588
Michel Denver Martil	Chief financial officer	1 Jan 2015	Other	6443996
Abdurrehman Muhammadi	Director	1 Jan 2015	Other	6444700
John Pereira	Director	1 Oct 2015	Other	5339121
Simon Mielniczuk	Secretary	1 Oct 2015	Other	6577834
Mario Roman Causarano	Director	1 Oct 2015	Other	6410268
Jordy Warren Chilcott	Director and president	1 Oct 2015	Other	6022626
Bruno Carchidi	Chief compliance officer	1 Mar 2016	Other	5642023
Carsten Gieschen	Chief financial officer	1 Mar 2016	Other	6620645
Gregory Joseph	Chief financial officer	1 Feb 2017	Other	6768935
Mario Roman Causarano	Chief executive officer	1 Feb 2017	Other	6410268
Todd Winston Flick	Director and chief executive officer	1 Jun 2017	Other	6825139
1985275 Ontario Inc.	Shareholder	1 Nov 2017	75% - 100%	foreign
Dana Robyn Banks	Chief compliance officer	1 Dec 2018	Other	5470926

Indirect Owners

The SEC currently registers 5 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Dmfl Holding Corp.	Shareholder	1 Jan 2003	75% - 100%	foreign
Holliswealth Inc.	Shareholder	1 Jan 2011	75% - 100%	foreign
The Bank Of Nova Scotia	Shareholder	1 Feb 2011	75% - 100%	foreign
Dwm Ii Inc.	Shareholder	1 Feb 2012	75% - 100%	foreign
The Bank Of Nova Scotia	Shareholder	1 Nov 2017	75% - 100%	foreign

Based in Toronto, Ontario

The principal office where Scotia Institutional Asset Management Us, Ltd. performs its advisory services is located at 1 Adelaide Street East, Toronto, Ontario, M5 C 2 V9, which is also the mailing address of the firm. The firm also has an office outside of the United States.

You can reach the main office by calling the phone number 416-363-9097 or by fax 416-865-3463. The normal business hours are 9:00am - 6:00pm on Monday - Friday.