REGISTRATION, CUSTODIAN & AUDITORS

Alberta Securities Commission, ASC, BCSC, OSC, British Columbia Securities Commission, Ontario Securities Commission

Our Firm’s Registration:

Alberta Securities Commission

RT Mosaic Wealth Management Ltd. is a registered Portfolio Manager.  Portfolio Managers meet the high standards of registration with the securities commissions in Canada, requiring specific education and experience.  Our primary regulator is the Alberta Securities Commission. We are also currently registered in the category of Portfolio Manager through the regulatory passport system in each of the following provinces: British Columbia and Ontario.  

Numeris Chartered Accountants, audited financial statements

Auditors:

Numeris LLP Chartered Accountants

Numeris specializes in providing full service accounting needs to entrepreneurs and privately owned businesses and not-for-profit organizations.  Numeris LLP Chartered Accountants have been our external auditors since 2014.

Fidelity Clearing Canada, FCC, custodian

Our Custodian:

Fidelity Clearing Canada

Clients’ accounts are required to be held by an independent third-party custodian.  After a vigorous process, we chose Fidelity Clearing Canada because of their ability to service our clients’ needs, their attention to service, their technology platform and their independent nature.  All accounts at Fidelity Clearing Canada are protected by the Canadian Investor Protection Fund (CIPF).

DLA Piper, legal advice

Legal Advisors:

DLA Piper

DLA Piper is a global law firm operating through various separate and distinct legal entities.  DLA Piper has provided us legal advice since 2014.

PMAC logo.gif

We are a proud member in good standing, since joining in 2015. Established in 1952, PMAC currently represents over 275 portfolio management firms who collectively manage more than $2.75 trillion of assets on behalf of small and large wealth management firms dealing with pension plans, foundations, non-profit organizations, institutions and high net worth investors.

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Ready to learn more? Contact us for a complimentary meeting 

RT Mosaic Wealth Management Ltd. 

#2160, 300 5th Ave SW Calgary, AB T2P 3C4 

Chris Rawles B.Mgmt, CFP®, R.F.P., CIM®

Portfolio Manager & Financial Advisor

​E: chris.rawles@rtmosaic.com​

P: (403) 457-3283

 

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Spencer Tilley B.Comm, CFP®, R.F.P., CFA

Portfolio Manager & Financial Advisor

E: spencer.tilley@rtmosaic.com

P: (403) 457-3284

David Miller BFS, CFP®, R.F.P., CIM®

Associate Portfolio Manager & Financial Advisor

E: david.miller@rtmosaic.com

P: (403) 457-3285

Office Fax: (403) 457-3287

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