AdvisorCensus / Financial advisors / ATB Capital Markets USA Inc.
ATB Capital Markets USA Inc. is an SEC-registered investment advisory firm in Calgary, Alberta, Canada, registered since 2024, with no regulatory assets under management reported in its Form ADV filing dated August 18, 2026.
Quick answers
From the filingHow is ATB Capital Markets USA Inc. compensated?
On its Form ADV (Item 5.E, October 2026), ATB Capital Markets USA Inc. reports these compensation arrangements: other. The amounts are in Item 5 of its Form ADV Part 2A brochure.
Where is ATB Capital Markets USA Inc. located?
ATB Capital Markets USA Inc.'s principal office is in Calgary, Alberta, Canada, according to its Form ADV; the September 2026 filing also lists 1 other office (Schedule D, Section 1.F).
Is ATB Capital Markets USA Inc. registered with the SEC or a state?
ATB Capital Markets USA Inc. is an SEC-registered investment advisory firm, registered since 2024. Status as filed: Approved. CRD 155053.
How have ATB Capital Markets USA Inc.'s assets and staff changed since 2024?
In the Form ADV data for ATB Capital Markets USA Inc.: Total employees: 21 in October 2024 and 31 in October 2026. Assets under management move with markets as well as with clients coming and going.
Does ATB Capital Markets USA Inc. report any disciplinary disclosures?
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/155053
What changed in ATB Capital Markets USA Inc.'s recent Form ADV filings?
In the September 2026 filing data: Changed its office addresses in Toronto, Ontario.
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- Other
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2ASee the firm's brochure (dated June 16, 2026) for its fees and any account minimum, on the SEC's IAPD site.
Regulatory assets under management
Item 5.FNot reported.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DNot reported.
A firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Other
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2024 (2 years)
- Employees
- Total: 31. Performing investment advisory functions: 17.
- Wrap fee program participation
- No.
- Other offices (Schedule D, Section 1.F)
-
1 other office, as of the September 2026 filing
- States registered or notice-filed
- Not reported.
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | Not reported | 31 | August 18, 2026 |
| October 2025 | Not reported | 31 | June 11, 2025 |
| October 2024 | Not reported | 21 | July 5, 2024 |
Total employees: 21 in October 2024 and 31 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 months- September 2026
- Changed its office addresses in Toronto, Ontario.
- July 2026
- Added an office in Toronto, Ontario.
- No longer lists an office in Toronto.
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. ATB Capital Markets USA Inc. (CRD 155053): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/atb-capital-markets-usa-inc-calgary-alberta-155053