DFX Intelligence

W••••••••• U•• L•••: 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••••••••• U•• L•••

CRD 284471

TORONTO

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Search this name across graphsid dfx:ria:11b33ebd-64af-8934-a51c-f5d8c3e8651a

Data as of Mar 31, 2021 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Sep 1, 2016 to Mar 31, 2021
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: $196M••• Locked
Discretionary RAUM: $196M
Private client RAUM: $196Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 22

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
9•••••• C••••• I•••	GENERAL PARTNER	F	yes	02/2015	Sep 1, 2016	Mar 31, 2021
H••••••••• B••••• T•••••	CHIEF OPERATING OFFICER / CHIEF FINANCIAL OFFICER	Na	yes	06/2016	Sep 1, 2016	Mar 31, 2021

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
W••••••••• I•••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Brooklyn	NY	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020	Mar 31, 2021

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$196M	$143M	37.4%	$52.2M	55.5%	22	23	1	1

Relationships

Affiliated with (1)

← P••••••• C•••••• A••••••• C•••••••••Registered adviserother investment adviser
factForm ADV

Owns (1)

← K••••••••• N••••• L•••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 18, 2020 to presentfactForm ADV

Controls (6)

← H••••••••• B••••• T•••••OwnerCHIEF OPERATING OFFICER / CHIEF FINANCIAL OFFICER, ownership code NA, individual
Sep 1, 2016 to presentfactForm ADV
←

Dated events

Occurred
Sep 1, 2016
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:11b33ebd-64af-8934-a51c-f5d8c3e8651a
First observed: Sep 1, 2016
Last observed: Mar 31, 2021 66 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.