About Axcess Capital Advisors

Axcess Capital Advisors Inc. (“Axcess Advisors”) is a private corporation registered under National Instrument 31-103 as an Investment Fund Manager (“IFM”) and a Restricted Portfolio Manager(“RPM”) in the province of Alberta and as an Exempt Market Dealer(“EMD”) in the provinces of Alberta, British Columbia, Saskatchewan, Manitoba, Nova Scotia and Ontario. The Firm commenced operations in 2011 and operates from its head office in Calgary, Alberta.

As an EMD, Axcess Advisors distributes prospectus-exempt securities or exempt market securities through a channel of licensed Dealing Representatives (“DRs”) operating in the provinces where the Firm is registered to distribute these securities.

As an IFM and a RPM, Axcess Advisors manages investment funds that may hold mortgage and real estate related securities such as units of private mortgage funds which are qualified as “Mortgage Investment Corporations” (“MICs”), pursuant to section 130.1 of the Income Tax Act (Canada), syndicated mortgages, private (non-MIC) mortgage funds, as well as Mutual Fund Trusts (“MFTs”) and Limited Partnerships (“LPs”) or other types of prospectus-exempt investment funds.

Axcess Advisors engages Dealing Representatives (“DRs”) who are independent contractors and are licensed to sell exempt market securities under the Firm’s EMD registration. The Firm also engages Advising Representatives(“ARs”) who are licensed to advise on matters relating to the IFM and the RPM.

Axcess Advisors’ client base is comprised of investors that have an interest and understanding of private capital markets and of prospectus-exempt securities, and a desire to invest a portion of their investable assets in exempt securities, which are typically high risk.

The Firm also engages in formal arrangements with referral parties (such as financial planners, life insurance agents, mortgage brokers, and advisors), where the referrer receives compensation for the introduction of an investor client. The Firm also has referral arrangements with third-party Portfolio Managers that offer investment opportunities that the Firm is not registered to provide. If the Firm refers its investor clients to these third-party Portfolio Managers, and the investor client engages the Portfolio Manager, the Firm will receive a fee for the referral.

Most recently, Axcess Advisors introduced its “Exempt Market Dealer as a Service” (EMDaaS) platform aimed at third- party issuers, MICs, MIEs and investment funds. EMDaas provides a suite of securities dealer services for those issuers, MICs and investment funds that do not want to register as an Exempt Market Dealer but require an EMD to distribute their securities to investors.

In its capacity as an IFM,  Axcess Advisors has, and will continue to enter into management agreements with third-party investment funds.

Axcess Advisors is part of the “Axcess Capital Group of Companies”  that also includes:

  • Axcess Capital Managers Inc. (“Axcess Managers”),  which operates as the back-office administrator responsible for fund administration and bookkeeping services for the MICS and other Investment Funds managed by Axcess Advisors under its IFM and RPM registration. Axcess Managers also maintains the fund shareholder registers, provides unit holding reporting and maintains records of investments held by some of the MICs and other Investment funds as well as Third-party funds;

And;

  • Axcess Capital Partners Inc. (“Axcess Partners”) which manages certain mortgage and/or foreclosed syndicated mortgage assets on behalf of a group of syndicated mortgage lenders.

Axcess Advisors, Axcess Managers and Axcess Partners all operate from the same location in Calgary, Alberta.

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