DFX Intelligence

T••••• C•••••• M••••••••• L•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

T••••• C•••••• M••••••••• L•••

CRD 135441

WINNIPEG, MANITOBA CANADA

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Search this name across graphsid dfx:ria:010b2ce0-1e88-8f96-7362-9351a9a61766

Data as of Dec 23, 2016 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:41 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Dec 22, 2011 to Dec 23, 2016
8 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $3.9B••• Locked
Discretionary RAUM: $3.9B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 15
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
T••••• U••• E••••• F•••	Other Private Fund	$23.7M	Dec 23, 2016	97	Dec 23, 2016	reported	n/a
T••••• C••••••• E••••• F•••	Other Private Fund	$17.0M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••• D•••••• A••••	PRESIDENT/CHIEF COMPLIANCE OFFICER	E	yes	02/2004	Dec 22, 2011	Dec 23, 2016
M•••••••• J•••• A••••••••	Director	Na	no	10/2014	Dec 23, 2014	Dec 23, 2016

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Boston	Ma	United States	n/a	no
Toronton	n/a	Canada	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$3.9B	$3.8B	3.1%	$4.7B	-5.8%	15	15	n/a	n/a

Relationships

Advises (4)

→ T••••• C••••••• E••••• D••••••• F•••Private fundOther Private Fund, IA
Dec 23, 2016 to presentfactForm ADV
→ T••••• U••• E••••• D•••••• F•••Private fundOther Private Fund, IA
Dec 23, 2016 to presentfactForm ADV
→ T••••• U••• E••••• F•••Private fundOther Private Fund, IA
Dec 23, 2016 to presentfactForm ADV
→ T••••• C••••••• E••••• F•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:010b2ce0-1e88-8f96-7362-9351a9a61766
First observed: Dec 22, 2011
Last observed: Dec 23, 2016 118 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.