GOLD INVESTMENT MANAGEMENT LTD. of EDMONTON is an SEC-registered investment adviser (CRD 152056). Regulatory assets under management: $525.8M.
Compensation: % of AUM.
Clients served: High net worth, Pooled vehicles.
| Name | Role | Location |
|---|---|---|
| Jonathon Andrew Lewis Gold | CHIEF COMPLIANCE OFFICER AND PRESIDENT; TRUSTEE | — |
| George Tom Yuk Fai Wu | OWNER | — |
| GOLD MARC LEWIS | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER AND PRESIDENT; PRESIDENT (+2 more) | — |
| PLOKHII ANDREW NMN | VICE PRESIDENT | — |
| GOLD CHRISTINE RUTH | SECRETARY AND TREASURER; VICE PRESIDENT | — |
| GOLDENSTEIN JONATHAN ANDREW LEWIS | CHIEF COMPLIANCE OFFICER; PRESIDENT; PRESIDENT/CHIEF COMPLIANCE OFFICER | — |
| Wu George Tom Yuk Fai | OWNER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2013-12-16 | regulatory | AS PART OF THE SETTLEMENT DATED OCTOBER 15, 2014 AND OCTOBER 24TH, 2014 THAT WERE ENTERED INTO BETWEEN THE FIRM AND THE ONTARIO SECURITIES COMMISSION AND THE ALBERTA SECURITIES COMMISSION, RESPECTIVELY, THE FIRM ACCEPTED THE TERMS AND CONDITIONS ON ITS REGISTRATION THAT ARE DESCRIBED IN THE RESPONSE… | Final | — |