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Cap Investment Management Inc. (Toronto, Ontario)


Cap Investment Management Inc. is a large advisory firm based in Toronto, Ontario. It manages $39.5 million of regulatory assets for 89 client accounts. It has been registered with the SEC as an adviser since 2006.

Cap Investment Management provides portfolio management for individuals and small businesses. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Cap Investment Management: assets under management

The assets under management (AUM) of Cap Investment Management Inc. is $39.5 million, all of which is managed in discretionary accounts. The company doesn't manage any assets belonging to foreign clients.


The firm manages $39.5 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $443.82 thousand each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Cap Investment Management Inc. for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Indirect Owners

The SEC currently registers 6 indirect owners.

Name Entity Date acquired Ownership Employer ID
Lorna G. Anderson Shareholder 1 Nov 1982 50% - 75% 5008269
William John Anderson Shareholder 1 Nov 1982 50% - 75% 2785122
Graham Murray Carter Sole shareholder 1 Jan 1998 75% - 100% 3245156
Robert Bruce Poile Shareholder 1 Jun 1998 50% - 75% 1877565
Kerry Blue Investments Ltd. Shareholder 1 Jun 1998 50% - 75% 10281 9604 rp0001
Walter James Ratcliffe Sole shareholder 1 Jan 2006 75% - 100% 5008505

Based in Toronto, Ontario

The principal office where Cap Investment Management Inc. performs its advisory services is located at 155 University Avenue, Toronto, Ontario, M5 H 3 B7, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 416-815-1030 or by fax 416-815-1029. The normal business hours are 9:00 a.m. to 5:00 p.m. on Monday - Friday.


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