9AT: GUARDIAN CAPITAL ADVISORS LP

Adviser Profile

As of Date	02/06/2025
Registration status	Terminated
ADV Location	TORONTO ONTARIO, Canada
Contact Info	416 xxxxxxx
Websites

AUM^*	2,454,391,330 1%
of that, discretionary	2,454,391,330 1%
Number of Employees	46 -6%
of those in investment advisory functions	19 12%
Private Fund GAV^*	0
Avg Account Size	370,586 2%
% High Net Worth	10.48% 7%
SMA’s	Yes
Private Funds	0

Adviser Type

- Large advisory firm
- Outside the United States

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Pension and profit sharing plans
- Charitable organizations
- State or municipal government entities
- Other investment advisers
- Corporations or other businesses not listed above

Advisory Activities

- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses
- Selection of other advisers

Compensation Arrangments

- A percentage of assets under your management

Adviser	Hedge Fund	Liquidity Fund	Private Equity Fund	Real Estate Fund	Securitized Asset Fund	Venture Capital Fund	Other Fund	Total Private Fund GAV	AUM	#Funds
Adviser DORCHESTER WEALTH MANAGEMENT COMPANY	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.3b	#Funds-
Adviser CARDINAL CAPITAL MANAGEMENT, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM4.0b	#Funds-
Adviser GOLD INVESTMENT MANAGEMENT LTD.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM525.8m	#Funds-
Adviser CLARET ASSET MANAGEMENT CORP	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund461.8m	Total Private Fund GAV461.8m	AUM2.4b	#Funds7
Adviser PNC MANAGED ACCOUNT SOLUTIONS, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM588.4m	#Funds-
Adviser PACIFICA PARTNERS CAPITAL MANAGEMENT	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM316.0m	#Funds-
Adviser SATHER FINANCIAL GROUP, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM2.3b	#Funds-
Adviser PILOTAGE PRIVATE WEALTH AG	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM227.6m	#Funds-
Adviser WEITZEL FINANCIAL SERVICES, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM327.8m	#Funds-
Adviser J. STERN & CO. LLP	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM2.2b	#Funds-

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck Ticker780087102	Stock NameROYAL BK CDA	$ Position$63,421,731	% Position6.00%	$ Change14.00%	# Change1.00%
Stck Ticker891160509	Stock NameTORONTO DOMINION BK ONT	$ Position$46,504,513	% Position5.00%	$ Change16.00%	# Change1.00%
Stck Ticker594918104	Stock NameMICROSOFT CORP	$ Position$30,703,639	% Position3.00%	$ Change1.00%	# Change12.00%
Stck Ticker29250N105	Stock NameENBRIDGE INC	$ Position$32,920,617	% Position3.00%	$ Change16.00%	# Change1.00%
Stck Ticker136375102	Stock NameCANADIAN NATL RY CO	$ Position$26,799,842	% Position3.00%	$ Change1.00%	# Change2.00%
Stck Ticker064149107	Stock NameBANK NOVA SCOTIA HALIFAX	$ Position$33,298,207	% Position3.00%	$ Change14.00%	# Change-4.00%
Stck Ticker063671101	Stock NameBANK MONTREAL QUE	$ Position$34,121,183	% Position3.00%	$ Change10.00%	# Change3.00%
Stck Ticker037833100	Stock NameAPPLE INC	$ Position$20,639,095	% Position2.00%	$ Change-1.00%	# Change2.00%
Stck Ticker136385101	Stock NameCANADIAN NAT RES LTD	$ Position$20,597,306	% Position2.00%	$ Change-2.00%	# Change1.00%
Stck Ticker136069101	Stock NameCANADIAN IMPERIAL BK COMM	$ Position$21,152,702	% Position2.00%	$ Change20.00%	# Change-3.00%

Brochure Summary

Overview

A. Describe your advisory firm, including how long it has been in business. Identify your principal owner(s). GCALP was founded in 1999 and is the private client subsidiary of Guardian Capital Group Limited, one of Canada's largest and most established independent publicly listed financial services companies. GCALP was created to specifically provide private wealth management for the company's high net worth clients. GCALP is registered as a Portfolio Manager in all provinces of Canada and the Yukon and Northwest Territories, and is registered investment adviser with the U.S. Securities and Exchange Commission (“SEC”). B. Describe the types of advisory services the firm offers. If the firm holds itself out as specializing in a particular type of advisory service, such as financial planning, quantitative analysis or market timing, explain the nature of that service in detail. If the firm provides investment advice only with respect to limited types of investments, explain the type of investment advice firm offers and disclose that the advice is limited to those types of investments. Advisory Services – General GCALP provides fee-based discretionary portfolio management services to pension plans, small corporations, trusts, pooled funds, charitable organizations, and in particular, high net worth individual clients. The firm employs a group of experienced portfolio managers who have the extensive wealth preservation experience and resources needed to construct portfolios aligned to each individual client’s needs. Portfolio managers may consider a wide spectrum of investments to determine which particular securities are appropriate to implement the client’s investment policy statement. GCALP uses exchange- listed securities, securities traded over-the-counter, foreign

securities, corporate debt securities, commercial paper, municipal securities, mutual funds and United States government securities to accomplish client objectives. C. Explain whether (and, if so, how) the firm tailors advisory services to the individual needs of clients. Explain whether clients may impose restrictions on investing in certain securities or types of securities. GCALP will tailor its advisory services to a client’s individual needs based on ongoing discussions with the client, and completion of a client questionnaire and investment policy statement. Every client works directly with a dedicated Portfolio Manager to develop, oversee and continually review their portfolio and wealth management needs. Depending on individual needs, this can include a breadth of services such as portfolio development, optimizing tax liabilities and estate planning. Clients may wish to impose certain restrictions on investing in certain securities or types of securities. Those restrictions are primarily outlined in the client questionnaire. D. If you participate in wrap fee programs by providing portfolio management services, (1) describe the differences, if any, between how you manage wrap fee accounts and how you manage other accounts, and (2) explain that you receive a portion of the wrap fee for your services. GCALP does not participate in any wrap fee programs. E. If you manage client assets, disclose the amount of client assets you manage on a discretionary basis and the amount of client assets you manage on a non-discretionary basis. Disclose the date “as of” which you calculated the amounts. As of December 31, 2023, GCALP managed US $2,454,391,330 in client assets on a discretionary basis and US $0 in client assets on a non-discretionary basis.

GUARDIAN CAPITAL ADVISORS LP

GUARDIAN CAPITAL ADVISORS LP

GUARDIAN CAPITAL ADVISORS INC

GUARDIAN CAPITAL INC., CANADA

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Top Holdings

Brochure Summary

Overview

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GUARDIAN CAPITAL ADVISORS LP GUARDIAN CAPITAL ADVISORS LP GUARDIAN CAPITAL ADVISORS INC GUARDIAN CAPITAL INC., CANADA

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Top Holdings

Brochure Summary

Overview

GUARDIAN CAPITAL ADVISORS LP

GUARDIAN CAPITAL ADVISORS LP

GUARDIAN CAPITAL ADVISORS INC

GUARDIAN CAPITAL INC., CANADA