Fisher Investments Canada is a registered adviser (portfolio manager) with provincial securities commissions in Canada and is a US Registered Investment Adviser regulated by the US Securities and Exchange Commission (SEC).
Form ADV is used by US Registered Investment Advisers to register with the SEC and state securities authorities. Before you hire someone to be your investment adviser, always ask for, and read carefully, all parts of the adviser's Form ADV. Form ADV is divided into three parts. You can access all three parts of our Form ADV on the SEC’s website here.
Conflicts of Interest
When we act as your investment adviser, we have to act in your best interest and not put our interest ahead of yours. At the same time, like other investment advisers, we may have business interests that are inconsistent or divergent with yours. However, we have adopted detailed policies and procedures to assist us in identifying and controlling any conflicts of interest we may face—including those that are reasonably foreseeable. We avoid conflicts prohibited by Canadian or US laws and those we cannot effectively control to ensure we resolve them in our clients’ best interests.
The conflicts of interest that may impact you, including how we address them in your best interest, are described in our Form ADV 2A and Form ADV 3 Client Relationship Summary. A summary of where you can find this information within each form can be accessed here.
If you have questions or would like to learn more, please do not hesitate to contact us.