BMO Nesbitt Burns Securities Ltd.

RIASEC Registered
Total AUM
$1.2B
Discretionary
$1.2B
100% of AUM
Avg account
$900K
Accounts
1,330
Employees
303
Advisory reps
41

Firm details

Headquarters
Toronto Ontario,
CRD number
281337
Registered since
February 9, 2016
Fee structure
Percentage of AUM
Client types
  • HNWI91.91%
  • Individuals8.09%
Services
Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional Clients

Firm profile

FINTRX

Overview

BMO Nesbitt Burns Securities Ltd. operates as a broker-dealer that provides financial planning and discretionary portfolio management services primarily to individual and family clients, with offerings that also cover small businesses and institutional/business accounts. The firm charges fees based on a percentage of assets under management and reports a client base concentrated in private individuals and families. Its business activities and affiliations span brokerage and advisory roles, and filings indicate exposure to a range of financial industry functions beyond retail wealth management. The firm’s public filing flags a preference for equities, and its most-used asset type is exchange-traded equities. It does not identify as an active ESG investor in the snapshot data.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

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CRM & tech providers

TAMPs used

Clients

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Client base

Client personas

Asset composition

Asset composition: Exchange Traded Equities 80%, Investment Grade Corp Bonds 6%, Cash & Cash Equivalents 5%, Public Funds/Mutual Funds 4%, US Government Bonds 2%, Sovereign Bonds 2%, Private Funds 1%80%
  • Exchange Traded Equities80%
  • Investment Grade Corp Bonds6%
  • Cash & Cash Equivalents5%
  • Public Funds/Mutual Funds4%
  • US Government Bonds2%

Owners & executives

3 of 3
  • Stephen Gigliotti

    Chief Compliance OfficerCRD 3063688

  • Stephanie Lake

    Stephanie Lake

    Chief Operating OfficerCRD 5845009

  • Bruce Ferman

    Bruce Ferman

    Chief Operating OfficerCRD 6304645

Contacts

3 of 38
  • William Brown

    William Brown

    SVP, Managing DirectorCRD 3144046

  • Devanand Persaud

    DirectorCRD 4779881

  • Sean Rourke

    Senior Portfolio ManagerCRD 6438106

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Wealth teams

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Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

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ETF holdings

1 of 1,305

Active vs passive

$38B in ETFs

Passive

92%

$35B

Active

4%

$3B

ETFProviderStyleCategoryValueShares% of portfolio
SPDR S&P 500 ETF TRUST (SPY)State StreetPassiveLarge Blend$4.8B6,446,80412.68%

Location

Primary office

Toronto Ontario, null

Location

Toronto Ontario, null

Headquartered in Toronto Ontario, null.

Address
1 First Canadian Pl
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth