Nicola Wealth Management Ltd.

RIASEC Registered

Total AUM

$11B

Discretionary

$10.8B

98% of AUM

Avg account

$398K

Accounts

27,753

Employees

531

Advisory reps

Firm details

Headquarters: Vancouver,
CRD number: 173201
Registered since: August 14, 2020
Website: nicolawealth.com
Custodians: NATIONAL BANK INDEPENDENT NETWORK (NBIN), PERSHING LLC
Fee structure: Percentage of AUM, Fixed Fees, Performance Based Fees
Client types: HNWI82.15%
Individuals9.83%
Charitable Organizations4.34%
Corporations / Businesses3.68%
Services: Financial PlanningPortfolio Management for IndividualsPortfolio Management for Pooled Investment Vehicles

Firm profile

FINTRX

Overview

Nicola Wealth Management Ltd. is an independent registered investment adviser organized as a corporation and SEC-registered in 2020. The firm serves both individual/family and institutional clients and combines financial planning with portfolio management for individuals, small businesses, and pooled investment vehicles. Its client-facing fee arrangements include percentage-of-AUM charges, fixed fees, and performance-based fees. Nicola also operates as an insurance broker and is affiliated with insurance and real estate firms; it acts in sponsor/GP/managing-member roles for pooled vehicles. The firm does not identify as an active ESG investor.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

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Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Private Funds91%
Cash & Cash Equivalents5%
Exchange Traded Equities2%
Public Funds/Mutual Funds2%

Owners & executives

3 of 5

John Nicola
Chairman & CEOCRD 7272139
Jamie Duncan
Chief Operating OfficerCRD 7272143
John Nicola
Chairman & CEOCRD 7324585

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Contacts

3 of 12

David Sung
PresidentCRD 7272140
Hung Kwan Tony Lee
Client Relationship ManagerCRD 7296443
Seyed Ahmad Soleiman Panah
Wealth Advisor, Client Relationship ManagerCRD 7326822