Registration Status: Active in 4 Provinces
Portfolio Manager & Investment Fund Manager | Registered: February 1, 2020
Registered Firm
Excess Working Capital
$8.3M
34x requirement
Provincial Registrations
4
active jurisdictions
Compliance Rate
100%
6/6 requirements
Advising Reps
4
registered individuals
Provincial Securities Commission Registrations
| Province | Regulator | Registration Number | Category | Since | Status |
|---|---|---|---|---|---|
| Ontario | OSC | PM-567890 | Portfolio Manager | February 2020 | Active |
| British Columbia | BCSC | BC-234567 | Portfolio Manager | February 2020 | Active |
| Quebec | AMF | AMF-890123 | Portfolio Manager | March 2020 | Active |
| Alberta | ASC | AB-456789 | Portfolio Manager | March 2020 | Active |
NI 31-103 Registration Requirements & Filings
Ongoing compliance filings for registered firms
| Form | Filing Name | Frequency | Description | Last Filed | Next Due | Status |
|---|---|---|---|---|---|---|
33-109F4 | Form 33-109F4 - Registration of Individuals | As Required | Registration and updates for advising representatives | March 15, 2025 | As needed | Current |
33-109F6 | Form 33-109F6 - Firm Registration | Annual | Annual firm registration renewal | March 31, 2025 | March 31, 2026 | Filed |
31-103F1 | Form 31-103F1 - Calculation of Excess Working Capital | Annual | Annual working capital calculation | March 31, 2025 | March 31, 2026 | Filed |
AUD | Audited Financial Statements | Annual | Annual audited financials to regulators | March 31, 2025 | March 31, 2026 | Filed |
NI 81-106 Investment Fund Continuous Disclosure
Ongoing disclosure obligations for investment funds
| Form | Document Name | Frequency | Description | Last Filed | Next Due | Status |
|---|---|---|---|---|---|---|
81-106F1 | Contents of Annual and Interim Management Reports of Fund Performance | Semi-Annual | Fund MRFP for semi-annual period | September 30, 2025 | March 31, 2026 | Filed |
AIF | Annual Information Form | Annual | Detailed fund disclosure document | March 31, 2025 | March 31, 2026 | Filed |
FS | Annual/Interim Fund Financial Statements | Semi-Annual | Audited/reviewed fund financials | September 30, 2025 | March 31, 2026 | Filed |
Working Capital Position (Form 31-103F1)
Total Assets$12.50M
Total Liabilities$2.10M
Working Capital$8.50M
Required Capital$250K
Excess Working Capital$8.25M
Registered Individuals (Form 33-109F4)
Michael Robertson
Ultimate Designated Person (UDP)
Ontario (OSC)
Active
Sarah Johnson
Chief Compliance Officer (CCO)
All Jurisdictions
Active
David Chen
Chief Financial Officer (CFO)
All Jurisdictions
Active
Emma Williams
Advising Representative
ON, BC, QC
Active
NI 31-103 Compliance Requirements
| Requirement | Instrument | Description | Status |
|---|---|---|---|
| Know Your Client (KYC) | NI 31-103 | Client identification and suitability assessments | Compliant |
| Know Your Product (KYP) | NI 31-103 | Product due diligence and understanding | Compliant |
| Conflicts of Interest | NI 31-103 | Identification and management of conflicts | Compliant |
| Working Capital Requirements | NI 31-103 | Minimum capital and liquidity maintained | Compliant |
| Continuous Disclosure | NI 81-106 | Timely fund disclosure to unitholders | Compliant |
| Independent Review Committee | NI 81-107 | IRC for conflict oversight in funds | Compliant |
Canadian Securities Regulatory Framework
NI 31-103: Registration Requirements, Exemptions and Ongoing Registrant Obligations
Harmonized registration regime across Canada covering registration categories, proficiency requirements, capital requirements, KYC/KYP obligations, and ongoing compliance.
NI 81-106: Investment Fund Continuous Disclosure
Continuous disclosure requirements for investment funds including financial statements, management reports of fund performance (MRFP), and material change reporting.
NI 81-107: Independent Review Committee for Investment Funds
Requirements for establishing an independent review committee to review and approve conflict of interest matters referred by the manager.
Form 33-109F4: Registration of Individuals and Review of Permitted Individuals
Individual registration requirements including proficiency, good character, financial solvency, and ongoing requirements for advising representatives.
Key Contacts
- Principal Regulator: Ontario Securities Commission
- Portal: National Registration Database (NRD)
- Last Compliance Review: August 2025
- Auditor: Deloitte LLP
Upcoming Deadlines
- Interim Fund MRFP: March 31, 2026
- Annual Registration Renewal: March 31, 2026
- Annual Audited Financials: March 31, 2026
- Form 31-103F1 EWC: March 31, 2026