# NICOLA WEALTH MANAGEMENT LTD.

NICOLA WEALTH MANAGEMENT LTD. of VANCOUVER is an SEC-registered investment adviser. This firm reports disciplinary history on Form ADV.

## Registration

- CRD: 173201
- Type: SEC-registered investment adviser
- SEC file number: 801-119288
- Location: 1508 WEST BROADWAY, 5TH FLOOR, VANCOUVER, V6J1W8
- Phone: 604-739-6450
- Latest filing: 2026-03-31
- Regulatory AUM: $11.0B
- Discretionary AUM: $10.8B
- Non-discretionary AUM: $211.0M
- Clients: 531
- Accounts: 27,753

## Business model

- Compensation: % of AUM, Fixed, Performance
- Clients served: Individuals, High net worth, Investment cos, Other

## Officers, owners & control persons (32)

_Showing 25 of 32 people._

| Name | Role | Location |
| --- | --- | --- |
| Vanessa Flockton | PRESIDENT, PRIVATE WEALTH AND DIRECTOR | Vancouver, A1 |
| John Michael Nicola | CHAIRMAN, CEO AND CHIEF INVESTMENT OFFICER.; EXECUTIVE CHAIR AND CHIEF INVESTMENT OFFICER.; TRUSTEE | — |
| David Bruce Sung | EXECUTIVE VICE CHAIR OF THE BOARD AND PRESIDENT OF INSTITUTIONAL | — |
| Jamie Susan Duncan | CHIEF OPERATIONS OFFICER AND DIRECTOR; DIRECTOR | — |
| Richard Chuen Chen | CHIEF COMPLIANCE OFFICER | — |
| Anne Marie Thomas | DIRECTOR | — |
| Thomas William Shepansky | DIRECTOR | — |
| Evelyn Claire Nicola | TRUSTEE | — |
| Carrie Elizabeth Russell | DIRECTOR | — |
| Christopher Michael Nicola | CHIEF EXECUTIVE OFFICER AND DIRECTOR; PRESIDENT AND DIRECTOR | — |
| David W Poster | CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER AND DIRECTOR | — |
| Paul Francis Bruce Hollands | DIRECTOR | — |
| Yannick Jean-Francois Archambault | PRESIDENT, PRIVATE WEALTH | — |
| Abigail Coman-Walker | CHIEF OPERATING OFFICER | — |
| David Poster | CHIEF FINANCIAL OFFICER | — |
| MONTALBANO JOHN SALVATORE | DIRECTOR | — |
| PATEL BIJAL ARVIND | CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER AND DIRECTOR; CHIEF FINANCIAL OFFICER, HEAD OF PRIVATE CAPITAL AND DIRECTOR (+1 more) | — |
| SKIPP DANIELLE EAN | CHIEF LEGAL OFFICER; CHIEF LEGAL OFFICER AND DIRECTOR; CHIEF LEGAL OFFICER/CHIEF COMPLIANCE OFFICER | — |
| SUNG DAVID BRUCE | EXECUTIVE VICE CHAIR OF THE BOARD AND PRESIDENT OF INSTITUTIONAL; PRESIDENT; PRESIDENT AND DIRECTOR (+2 more) | — |
| NICOLA JOHN MICHAEL | CEO, CIO, CHAIRMAN; CHAIRMAN, CEO AND CO-CHIEF INVESTMENT OFFICER; CHIEF EXECUTIVE OFFICER (+5 more) | — |
| DUNCAN JAMIE SUSAN | CHIEF OPERATIONS OFFICER; CHIEF OPERATIONS OFFICER AND DIRECTOR | — |
| MACDONALD DANNIELLE HELEN AGNES | CHIEF COMPLIANCE OFFICER | — |
| IKEDA KAREN NAOMI | DIRECTOR | — |
| NICOLA EVELYN CLAIRE | DIRECTOR; TRUSTEE | — |
| CROSBY WAYMAN GORDON | SHAREHOLDER: OWNS 100% OF CLASS A VOTING SHARES | — |


## Disclosures (7)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2016-01-19 | regulatory | THE FIRM HAD (WITH THE KNOWLEDGE AND PRIOR CONSENT OF THE CLIENT) CAUSED A MORTGAGE TO BE PURCHASED FROM THE ACCOUNT OF A CLIENT (RECORDED AS A MANAGED ACCOUNT BUT OPERATED ONLY WITH THE ONGOING CONSENTS OF THE CLIENT) BY ANOTHER MANAGED ACCOUNT (A PRIVATE POOLED FUND OF THE FIRM). THIS WAS DEEMED T… | Final | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/173201/brochure
- Similar advisers: https://search.stillhousedata.com/firm/173201/similar
- Related entities: https://search.stillhousedata.com/firm/173201/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/173201

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.