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W•••••••• G••••• A•••• M••••••••• C••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM 100m 1b

W•••••••• G••••• A•••• M••••••••• C••••

CRD 165327

TORONTO

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Data as of Dec 23, 2019 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 2
On other graphs: 0
Observed: Aug 27, 2012 to Dec 23, 2019
12 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: $833M••• Locked
Discretionary RAUM: $7.1M
Private client RAUM: $1.2Mderived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••• R•••••	CHAIRMAN & MANAGING PRINCIPAL	B	yes	06/2003	Aug 27, 2012	Dec 23, 2019
K••••••• F••••••• C••••	Shareholder	D	yes	03/2017	Aug 27, 2012	Dec 23, 2019

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$833M	$550M	51.4%	$500M	18.5%	6	4	0	0

Relationships

Controls (5)

← K•••••••• V•••••• ••••OwnerSHAREHOLDER, ownership code C, individual
Aug 27, 2012 to presentfactForm ADV
← A••••••• R•••••OwnerCHAIRMAN & MANAGING PRINCIPAL, ownership code B, individual
Aug 27, 2012 to presentfactForm ADV
← K•••••••• R•••••OwnerCHIEF COMPLIANCE OFFICER (CCO) & MANAGING PRINCIPAL, ownership code A, individual
Aug 27, 2012 to presentfactForm ADV
← M••••••••• P••••••• J•••••OwnerMANAGING PRINCIPAL, ownership code NA, individual
Dec 27, 2018 to present

Dated events

Occurred
Dec 23, 2019
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$283M
Occurred
Aug 27, 2012
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Aug 27, 2012
Last observed: Dec 23, 2019 82 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.