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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

BMO DIRECT INVEST INC.

CRD 317064

CHICAGO, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:19fd634c-c5fe-fe1d-c3a8-236a6071e286

Data as of Aug 27, 2024 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 20
Dated events: 27
On other graphs: 0
Observed: Dec 8, 2021 to Aug 27, 2024
23 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: $4.7MItem 5.F on the latest filing (2024-08-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $4.7M
Private client RAUM: $4.7MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees: 0
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 154
Individual clients: 178
High net worth clients: 0
SEC number: 801-123005
CRD: 317064
Filings on the tape: 23
First filed: Dec 8, 2021
Latest filed: Aug 27, 2024
Organised: Corporation, Delaware

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
ALVAR THIRUVENKADATHAN, BINDU	Director	Na	yes	05/2022	Jun 2, 2023	Aug 27, 2024
ANDERSON, LESLIE, JALEH	Director	Na	yes	08/2023	Aug 16, 2023	Aug 27, 2024
BANK OF MONTREAL	SOLE OWNER	E	yes	10/2021	Dec 17, 2021	Aug 27, 2024
BMO FINANCIAL CORP	SOLE SHAREHOLDER	E	yes	08/2021	Dec 8, 2021	Aug 27, 2024
Booth, Carolyn, Andrea	Director	Na	yes	08/2021	Jun 2, 2023	Aug 27, 2024
Dilda, Paul	Director	Na	yes	08/2021	Jun 2, 2023	Aug 27, 2024
HARRIS, WALLACE, WILLIAM	Director	Na	yes	08/2021	Dec 8, 2021	Aug 27, 2024
Hopkins, Charles, Otis	SMART PORTFOLIO MANAGER	Na	yes	08/2023	Aug 16, 2023	Aug 27, 2024
Lace, George, Patrick	CHIEF FINANCIAL OFFICER	Na	yes	03/2022	Nov 4, 2022	Aug 27, 2024
Lake, Stephanie, Ann	President	Na	yes	09/2022	Dec 8, 2021	Aug 27, 2024
PRUITT, JEFFREY, PAUL	CHIEF COMPLIANCE OFFICER	Na	yes	11/2023	Nov 8, 2023	Aug 27, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
BMO FAMILY OFFICE, LLC	n/a	Bank affiliated wealth	$10.0B	N	yes	n/a
BMO ASSET MANAGEMENT CORP.	n/a	Other adviser	$6.2B	N	yes	n/a
STOKER OSTLER WEALTH ADVISORS, INC.	n/a	Bank affiliated wealth	$3.7B	N	yes	n/a
BANK OF MONTREAL	n/a	n/a	n/a	Y	yes	n/a
BMO BANK NA	n/a	n/a	n/a	N	yes	n/a
BMO DELAWARE TRUST COMPANY	n/a	n/a	n/a	N	yes	n/a
BMO FINANCIAL CORP	n/a	n/a	n/a	Y	yes	n/a
BMO NESBITT BURNS SECURITIES LTD.	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Private funds	Fund GAV
2023	Mar 29, 2024	$4.7M	$4.7M	5	0	n/a	n/a
2022	Mar 29, 2023	$1.2M	$1.2M	4	3	n/a	n/a
2021	Mar 31, 2022	$0	$0	20	6	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$4.7M	$1.2M	299.8%	n/a	n/a	5	4	0	0

Relationships

Affiliated with (5)

← STOKER OSTLER, A PART OF BMO FINANCIAL GROUPRegistered adviserother investment adviser, common control
factForm ADV
← BMO FAMILY OFFICE, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ BMO ASSET MANAGEMENT CORP.Registered adviserother investment adviser, common control
factForm ADV
→ BMO FAMILY OFFICE, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ STOKER OSTLER, A PART OF BMO FINANCIAL GROUPRegistered adviserother investment adviser, common control
factForm ADV

Controls (11)

← PRUITT, JEFFREY, PAULOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Nov 8, 2023 to presentfactForm ADV
← HARRIS, WALLACE, WILLIAMOwnerDIRECTOR, ownership code NA, individual
Dec 8, 2021 to presentfactForm ADV
← Lake, Stephanie, AnnOwnerPRESIDENT, ownership code NA, individual
Dec 8, 2021 to presentfactForm ADV
← Hopkins, Charles, OtisOwnerSMART PORTFOLIO MANAGER, ownership code NA, individual
Aug 16, 2023 to presentfactForm ADV
← Booth, Carolyn, AndreaOwnerDIRECTOR, ownership code NA, individual
Jun 2, 2023 to presentfactForm ADV
← Lace, George, PatrickOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Nov 4, 2022 to presentfactForm ADV
← Dilda, PaulOwnerDIRECTOR, ownership code NA, individual
Jun 2, 2023 to presentfactForm ADV
← ALVAR THIRUVENKADATHAN, BINDUOwnerDIRECTOR, ownership code NA, individual
Jun 2, 2023 to presentfactForm ADV
← ANDERSON, LESLIE, JALEHOwnerDIRECTOR, ownership code NA, individual
Aug 16, 2023 to presentfactForm ADV
← BANK OF MONTREALOwnerSOLE OWNER, ownership code E, foreign entity
Dec 17, 2021 to presentfactForm ADV
← BMO FINANCIAL CORPOwnerSOLE SHAREHOLDER, ownership code E, domestic entity
Dec 8, 2021 to presentfactForm ADV

Registered with (4)

← Charles O HopkinsAdvisorregistration: previous registration
Aug 24, 2023 to Oct 29, 2024factForm ADV
← Michele Denise HopsonAdvisorregistration: previous registration
Sep 1, 2023 to Oct 29, 2024factForm ADV
← Peyton Ross EckertAdvisorregistration: previous registration
Jan 20, 2022 to Sep 15, 2023factForm ADV
← Luis Enrique Teran RiveroAdvisorregistration: previous registration
Jan 21, 2022 to Feb 24, 2022factForm ADV

Dated events

Occurred
Oct 29, 2024
Advisor changed firm
Charles O Hopkins left Bmo Direct Invest Inc. for Charles Schwab & Co., Inc. (registered 2025-07-31)
Form ADVobserved 3 days ago
Occurred
Oct 29, 2024
Advisor changed firm
Michele Denise Hopson left Bmo Direct Invest Inc. for Lpl Financial Llc (registered 2024-10-01)
Form ADVobserved 3 days ago
Occurred
Aug 27, 2024
Control person left
Loren James Dinneen (Product Manager) no longer on Schedule A of Bmo Direct Invest Inc. (listed 2024-03-29, absent 2024-08-27)
Form ADVobserved 3 days ago
Occurred
Aug 27, 2024
Control person left
K Clare Pierce (Director) no longer on Schedule A of Bmo Direct Invest Inc. (listed 2024-03-29, absent 2024-08-27)
Form ADVobserved 3 days ago
Occurred
Nov 8, 2023
Control person left
Allan Dean Folias (Chief Compliance Officer) no longer on Schedule A of Bmo Direct Invest Inc. (listed 2023-11-07, absent 2023-11-08)
Form ADVobserved 3 days ago
Occurred
Nov 8, 2023
Control person joined
Paul Jeffrey Pruitt (Chief Compliance Officer) appeared on Schedule A of Bmo Direct Invest Inc.
Form ADVobserved 3 days ago
Occurred
Nov 7, 2023
Control person left
Asim Mandhai (Chief Legal Officer) no longer on Schedule A of Bmo Direct Invest Inc. (listed 2023-09-05, absent 2023-11-07)
Form ADVobserved 3 days ago
Occurred
Sep 15, 2023
Advisor changed firm
Peyton Ross Eckert left Bmo Direct Invest Inc. for Corient (registered 2025-01-10)
Form ADVobserved 3 days ago
Occurred
Aug 16, 2023
Control person left
Ross Peyton Eckert (Central Advisor Supervisor) no longer on Schedule A of Bmo Direct Invest Inc. (listed 2023-08-15, absent 2023-08-16)
Form ADVobserved 3 days ago
Occurred
Aug 16, 2023
Control person joined
Otis Charles Hopkins (Director) appeared on Schedule A of Bmo Direct Invest Inc.
Form ADVobserved 3 days ago
Occurred
Aug 16, 2023
Control person joined
Jaleh Leslie Anderson (Director) appeared on Schedule A of Bmo Direct Invest Inc.
Form ADVobserved 3 days ago
Occurred
Jun 14, 2023
Control person left
Harris Darrel Hackett (Director) no longer on Schedule A of Bmo Direct Invest Inc. (listed 2023-06-02, absent 2023-06-14)
Form ADVobserved 3 days ago
Occurred
Jun 2, 2023
Control person joined
Harris Darrel Hackett (Director) appeared on Schedule A of Bmo Direct Invest Inc.
Form ADVobserved 3 days ago
Occurred
Jun 2, 2023
Control person joined
Andrea Carolyn Booth (Director) appeared on Schedule A of Bmo Direct Invest Inc.
Form ADVobserved 3 days ago
Occurred
Jun 2, 2023
Control person joined
K Clare Pierce (Director) appeared on Schedule A of Bmo Direct Invest Inc.
Form ADVobserved 3 days ago
Occurred
Jun 2, 2023
Control person joined
William Wallace Harris (Director) appeared on Schedule A of Bmo Direct Invest Inc.
Form ADVobserved 3 days ago
Occurred
Jun 2, 2023
Control person joined
Paul Dilda (Director) appeared on Schedule A of Bmo Direct Invest Inc.
Form ADVobserved 3 days ago
Occurred
Jun 2, 2023
Control person joined
Bindu Alvar Thiruvenkadathan (Director) appeared on Schedule A of Bmo Direct Invest Inc.
Form ADVobserved 3 days ago
Occurred
Mar 29, 2023
Control person left
Bimal Aditi Kapadia (Product Manager) no longer on Schedule A of Bmo Direct Invest Inc. (listed 2022-11-07, absent 2023-03-29)
Form ADVobserved 3 days ago
Occurred
Nov 4, 2022
Control person joined
Patrick George Lace (Chief Financial Officer) appeared on Schedule A of Bmo Direct Invest Inc.
Form ADVobserved 3 days ago
Occurred
Nov 4, 2022
Control person joined
Asim Mandhai (Chief Legal Officer) appeared on Schedule A of Bmo Direct Invest Inc.
Form ADVobserved 3 days ago
Occurred
Nov 4, 2022
Control person joined
Loren James Dinneen (Product Manager) appeared on Schedule A of Bmo Direct Invest Inc.
Form ADVobserved 3 days ago
Occurred
Nov 4, 2022
Control person left
William Wallace Harris (President) no longer on Schedule A of Bmo Direct Invest Inc. (listed 2022-05-16, absent 2022-11-04)
Form ADVobserved 3 days ago
Occurred
Nov 4, 2022
Control person left
Jane Amanda Demas (Chief Legal Officer) no longer on Schedule A of Bmo Direct Invest Inc. (listed 2022-05-16, absent 2022-11-04)
Form ADVobserved 3 days ago
Occurred
Feb 24, 2022
Advisor changed firm
Luis Enrique Teran Rivero left Bmo Direct Invest Inc. for Mainstreet Advisors (registered 2022-03-09)
Form ADVobserved 3 days ago
Occurred
Dec 17, 2021
Control person left
John Steven Zakrzewski (Chief Aml Reporting Officer) no longer on Schedule A of Bmo Direct Invest Inc. (listed 2021-12-08, absent 2021-12-17)
Form ADVobserved 3 days ago
Occurred
Dec 8, 2021
First Form ADV filing
Bmo Direct Invest Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 3 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:19fd634c-c5fe-fe1d-c3a8-236a6071e286
First observed: Dec 8, 2021
Last observed: Aug 27, 2024 25 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.

BMO DIRECT INVEST INC.

CRD 317064

CHICAGO, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:19fd634c-c5fe-fe1d-c3a8-236a6071e286

Data as of Aug 27, 2024 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:25 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ALVAR THIRUVENKADATHAN, BINDU

Director

yes

05/2022

Jun 2, 2023

Aug 27, 2024

ANDERSON, LESLIE, JALEH

Director

yes

08/2023

Aug 16, 2023

Aug 27, 2024

BANK OF MONTREAL

SOLE OWNER

yes

10/2021

Dec 17, 2021

Aug 27, 2024

BMO FINANCIAL CORP

SOLE SHAREHOLDER

yes

08/2021

Dec 8, 2021

Aug 27, 2024

Booth, Carolyn, Andrea

Director

yes

08/2021

Jun 2, 2023

Aug 27, 2024

Dilda, Paul

Director

yes

08/2021

Jun 2, 2023

Aug 27, 2024

HARRIS, WALLACE, WILLIAM

Director

yes

08/2021

Dec 8, 2021

Aug 27, 2024

Hopkins, Charles, Otis

SMART PORTFOLIO MANAGER

yes

08/2023

Aug 16, 2023

Aug 27, 2024

Lace, George, Patrick

CHIEF FINANCIAL OFFICER

yes

03/2022

Nov 4, 2022

Aug 27, 2024

Lake, Stephanie, Ann

President

yes

09/2022

Dec 8, 2021

Aug 27, 2024

PRUITT, JEFFREY, PAUL

CHIEF COMPLIANCE OFFICER

yes

11/2023

Nov 8, 2023

Aug 27, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

BMO FAMILY OFFICE, LLC

n/a

Bank affiliated wealth

$10.0B

yes

n/a

BMO ASSET MANAGEMENT CORP.

n/a

Other adviser

$6.2B

yes

n/a

STOKER OSTLER WEALTH ADVISORS, INC.

n/a

Bank affiliated wealth

$3.7B

yes

n/a

BANK OF MONTREAL

n/a

yes

n/a

BMO BANK NA

n/a

yes

n/a

BMO DELAWARE TRUST COMPANY

n/a

yes

n/a

BMO FINANCIAL CORP

n/a

yes

n/a

BMO NESBITT BURNS SECURITIES LTD.

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2023

Mar 29, 2024

$4.7M

n/a

2022

Mar 29, 2023

$1.2M

n/a

2021

Mar 31, 2022

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2023

$4.7M

$1.2M

299.8%

n/a