RBC Dominion Securities leading investment dealer in exempt fees earned in January 2019

Photo of author

By CPE Analytics

CPE Media Inc. is very proud to introduce, CPE Media Leaderboard, a series of unique and comprehensive league tables. Our goal is to track and measure various metrics of private and public financing based on information from our sophisticated and advanced all financings database, financings.ca

Our Leaderboard is very unique and no such metric has ever been in existence in Canada, until now.

We are pleased to release our first Leaderboard: Top Exempt Fee Earners – Investment Dealers.

Exempt issuers are required to report compensations that they paid either as finder fees or as broker fees. CPE Media is Canada’s only firm tracking this aspect of financing.

In January 2019, 466 private and public financings were completed for $5.55 billion, 448 of which were exempt-type financings which raised $3.53 billion in aggregate. Among the exempt financings, 151 financings were reported to be assisted by investment dealers or exempt market dealers (EMDs) or others; those financings paid out $11.38 million in fees in total.


RBC Dominion Securities Inc. leads all investment dealers, acting as a broker/finder for 10 financings for fees of over $1.5 million. TD Securities Inc., CIBC World Markets Inc., BMO Nesbitt Burns Inc., Canaccord Genuity Corp., Mackie Research Capital Corporation, National Bank Financial Inc., Scotia Capital Inc., Haywood Securities Inc., and GMP Securities L.P. make up the rest of top ten.

The following is the top ten investment dealers for January 2019.

A full list of 28 investment dealers with the number of financings and fees earned can be purchased from CPE Media Inc. Contact us for detail.


  • Inclduded: exempt type financings with reported compensations
  • Excluded: public offerings by way of bought deal or prospectus offering that are not exempt financings
  • Listing/ranking subject to change as new information becomes available

On Wednesday we will release our second Leaderboard – exempt financing fee earners – EMDs.

photo credit: Google