Gold Investment Management Ltd.
- Regulatory AUM
- $526M
- Discretionary
- $526M
- Clients
- 965
- Avg AUM / client
- $545K
- Accounts
- 2,890
- Employees
- 7
AUM over time
Annual snapshots from Form ADV filings · as of Mar 13, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 899 | $216M | 41.1% |
| High net worth individuals | 35 | $108M | 20.6% |
| Pension and profit sharing plans | Fewer than 5 clients | $110M | 20.9% |
| Charitable organizations | Fewer than 5 clients | $71.2M | 13.5% |
| Corporations and other businesses | 31 | $20.1M | 3.82% |
People (2)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Jonathon Andrew Lewis Gold | Trustee | CFA | Aug 2007 (19y) | Less than 5% |
| Wu, George, Tom Yuk Fai | Owner | Apr 2020 (6y) | ≈ 7.5% – 25% via 2257795 Alberta Ltd |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Gold (2020) Family Trust | Owner | May 2020 | A | 75% or more |
| 2257795 Alberta Ltd | Owner | May 2020 | A | 10% – 25% |
Undisclosed: 0% – 15% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Wu, George, Tom Yuk Fai: 75% – 100% of 2257795 Alberta Ltd × 10% – 25% direct ≈ 7.5% – 25% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/13/2026 | 1.1 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: 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 TO 2 ABOVE AND IT ADMITTED THAT IT HAD NOT DISCHARGED ALL OF ITS OBLIGATIONS IN RESPECT IF ESTABLISHING, MAINTAINING AND APPLYING A SYSTEM OF CONTROLS AND SUPERVISION TO ENSURE COMPLIANCE WITH APPLICABLE SECURITIES REGULATORY REQUIREMENTS AND TO MANAGE THE RISKS ASSOCIATED WITH ITS BUSINESS, AND THAT IT HAD NOT DISCHARGED ALL OF IT OBLIGATIONS RELATING TO KNOW-YOUR-CLIENT OR SUITABILITY. Status: Final Sanction Detail: THE IMPOSITION OF TERMS AND CONDITIONS ON THE FIRMS REGISTRATION AS A PORTFOLIO MANAGER IN ALBERTA, BRITISH COLUMBIA, SASKATCHEWAN, MANITOBA, ONTARIO AND QUEBEC WHICH INCLUDE THE OBLIGATION TO RETAIN COMPLIANCE MONITOR TO THE MONITOR THE FIRMS COMPLIANCE WITH ITS KNOW-YOUR-CLIENT AND SUITABILITY OBLIGATIONS FOR A PERIOD OF NINE MONTH AND TO PROVIDED MONTHLY REPORT TO THE ONTARIO AND ALBERTA SECURITIES COMMISSIONS. SUBSEQUENTLY, ONTARIO AND ALBERTA SECURITIES COMMISSIONS AND TO SUBMIT TO AN ANNUAL REVIEW BY Summary: 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 TO 2 ABOVE AND IT ADMITTED THAT IT HAD NOT DISCHARGED ALL OF ITS OBLIGATIONS IN RESPECT IF ESTABLISHING, MAINTAINING AND APPLYING A SYSTEM OF CONTROLS AND SUPERVISION TO ENSURE COMPLIANCE WITH APPLICABLE SECURITIES REGULATORY REQUIREMENTS AND TO MANAGE THE RISKS ASSOCIATED WITH ITS BUSINESS, AND THAT IT HAD NOT DISCHARGED ALL OF IT OBLIGATIONS RELATING TO KNOW-YOUR-CLIENT OR SUITABILITY.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Aviso Financial Inc. $409M (78% of AUM) Mar 2026
- Credential Financial Inc. $302M (76% of AUM) Apr 2024
- Royal Bank Of Canada $110M (21% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 13, 2026.
View current Form ADV (SEC/IAPD) ↗