{
  "crd_number": 7449,
  "slug": "canaccord-genuity-wealth-management-vancouver-bc-7449",
  "primary_business_name": "CANACCORD GENUITY WEALTH MANAGEMENT",
  "legal_name": "CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.",
  "dbas": [],
  "city": "Vancouver, Bc",
  "state": null,
  "country": "Canada",
  "cbsa_code": null,
  "metro": null,
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2015-11-02",
  "years_registered": 10,
  "period": "2026-10-01",
  "filing_date": "2026-06-30",
  "carried_forward": false,
  "raum_total": 135455625.0,
  "raum_discretionary": 135455625.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 32,
  "advisory_employees": 32,
  "client_count_bucket": null,
  "clients_by_type": {
    "individuals": {
      "raum": 16305440.0,
      "count": 48
    },
    "high_net_worth_individuals": {
      "raum": 117247122.0,
      "count": 29
    },
    "corporations_other_businesses": {
      "raum": 1903063.0,
      "count": 3
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 7,
  "states_registered": [
    "AK",
    "CA",
    "CO",
    "FL",
    "IL",
    "MD",
    "NJ",
    "NV",
    "NY",
    "OR",
    "TX",
    "WA"
  ],
  "websites": [],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/7449",
  "disclosure_items": [
    {
      "item": "11.C(1)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?"
    },
    {
      "item": "11.C(2)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?"
    },
    {
      "item": "11.C(4)",
      "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.C(5)",
      "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?"
    },
    {
      "item": "11.D(2)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?"
    },
    {
      "item": "11.D(5)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?"
    },
    {
      "item": "11.E(2)",
      "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?"
    }
  ],
  "city_as_filed": "VANCOUVER, BC",
  "url": "https://advisorcensus.com/firm/canaccord-genuity-wealth-management-vancouver-bc-7449",
  "display_name": "Canaccord Genuity Wealth Management",
  "summary": "Canaccord Genuity Wealth Management is an SEC-registered investment advisory firm in Vancouver, Bc, Canada, registered since 2015, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated June 30, 2026.",
  "citation": "AdvisorCensus. Canaccord Genuity Wealth Management (CRD 7449): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management"
  ],
  "advisory_activity_labels": [
    "Portfolio management for individuals and/or small businesses"
  ],
  "quick_answers": [
    {
      "q": "How is Canaccord Genuity Wealth Management compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Canaccord Genuity Wealth Management reports these compensation arrangements: a percentage of assets under its management."
    },
    {
      "q": "Where is Canaccord Genuity Wealth Management located?",
      "a": "Canaccord Genuity Wealth Management's principal office is in Vancouver, Bc, Canada, according to its Form ADV; the July 2026 filing also lists 6 other offices (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Canaccord Genuity Wealth Management registered with the SEC or a state?",
      "a": "Canaccord Genuity Wealth Management is an SEC-registered investment advisory firm, registered since 2015. Status as filed: Approved. CRD 7449."
    },
    {
      "q": "How much does Canaccord Genuity Wealth Management manage?",
      "a": "Canaccord Genuity Wealth Management reports $135,455,625 in regulatory assets under management in its Form ADV filing dated June 30, 2026 (100% discretionary)."
    },
    {
      "q": "How have Canaccord Genuity Wealth Management's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Canaccord Genuity Wealth Management: Regulatory assets under management: $33,975,000 in the October 2021 data and $135,455,625 in the October 2026 data, up 299%. Total employees: 7 in October 2021 and 32 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Canaccord Genuity Wealth Management serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (48); high net worth individuals (29); corporations or other businesses not listed above (3)."
    },
    {
      "q": "Which custodians does Canaccord Genuity Wealth Management use?",
      "a": "Canaccord Genuity Wealth Management's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Pershing LLC as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Canaccord Genuity Wealth Management report any disciplinary disclosures?",
      "a": "Reports 7 disclosure items on Form ADV Item 11: yes answers to 7 questions about regulatory matters (11.C(1), 11.C(2), 11.C(4), 11.C(5), 11.D(2), 11.D(5), 11.E(2)). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/7449"
    },
    {
      "q": "Does Canaccord Genuity Wealth Management state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated June 30, 2026 says: \"Clients must typically have a minimum of $100,000 in assets to open an account. Client accounts may be aggregated to meet the minimum account value. This may be waived at the discretion of CGWM USA.\""
    },
    {
      "q": "What changed in Canaccord Genuity Wealth Management's recent Form ADV filings?",
      "a": "In the July 2026 filing data: Employees performing advisory functions went from 31 to 32. Regulatory assets under management went from $101,217,366 to $135,455,625 (+34%)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 33975000.0,
      "total_employees": 7,
      "filing_date": "2021-06-29"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 42148577.0,
      "total_employees": 7,
      "filing_date": "2022-08-05"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 53534204.0,
      "total_employees": 8,
      "filing_date": "2023-06-28"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 92579399.0,
      "total_employees": 7,
      "filing_date": "2024-09-30"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 101217366.0,
      "total_employees": 31,
      "filing_date": "2025-07-17"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 135455625.0,
      "total_employees": 32,
      "filing_date": "2026-06-30"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-07-01",
      "period_label": "July 2026",
      "notes": [
        "Employees performing advisory functions went from 31 to 32.",
        "Regulatory assets under management went from $101,217,366 to $135,455,625 (+34%)."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated June 30, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": "$100,000",
    "account_minimum_may_be_waived": true,
    "minimum_annual_fee": null,
    "planning_fees": [],
    "figures": [
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: $100,000 (the brochure says it may be waived or negotiated)"
        ],
        "quotes": [
          "Clients must typically have a minimum of $100,000 in assets to open an account. Client accounts may be aggregated to meet the minimum account value. This may be waived at the discretion of CGWM USA."
        ]
      }
    ],
    "values": {
      "tiers": [],
      "range_pct": null,
      "max_pct": null,
      "account_minimum": 100000.0,
      "minimum_annual_fee": null,
      "planning": []
    },
    "quotes": [
      "Clients must typically have a minimum of $100,000 in assets to open an account. Client accounts may be aggregated to meet the minimum account value. This may be waived at the discretion of CGWM USA."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Pershing LLC",
      "name_as_filed": "PERSHING LLC",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/canaccord-genuity-wealth-management-vancouver-bc-7449.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 48,
      "fewer_than_5": false,
      "raum": 16305440.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 29,
      "fewer_than_5": false,
      "raum": 117247122.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 3,
      "fewer_than_5": false,
      "raum": 1903063.0
    }
  ],
  "disclosure_line": "Reports 7 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/7449",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}