DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 1b 10b

G••••••• C•••••• A••••••• L•

CRD 109840

TORONTO ONTARIO

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Search this name across graphsid dfx:ria:23a62eab-3b29-f2e5-d4c7-c7825fc24a8c

Data as of Mar 26, 2024 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 28
Dated events: 10
On other graphs: 0
Observed: Mar 30, 2012 to Mar 26, 2024
18 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: $2.5B••• Locked
Discretionary RAUM: $2.5B
Private client RAUM: $1.6Bderived••• Locked
Private client share: 63%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 46

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••••• A•••••• M••••••	Director	Na	yes	02/2012	Mar 30, 2012	Mar 26, 2024
C•••• T•••• C••••••	Trustee	F	yes	01/2004	Mar 30, 2016	Mar 26, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
G••••••• C•••••• L•	n/a	Asset manager	$11B	N	yes	n/a
A•••••••• C•••••• M••••••••• L••	n/a	Institutional manager	$10.0B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Vancouver	n/a	Canada	4	no
Calgary	n/a	Canada	3	no

Regulatory AUM by fiscal year

••• Locked

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

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$2.5B	$2.4B	0.7%	$2.5B	0.0%	46	49	2	2

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
G••••••• P••••••• I•••	4	Jan 30, 2025	Jan 23, 2025	TORONTO ONTARIO	Firm absorbed	Other	100.0%

Relationships

Affiliated with (11)

← G••••••• C•••••• L•Registered adviserother investment adviser, common control
factForm ADV
← T•• R••••••••• P•••••••••Registered adviserother investment adviser, common control
factForm ADV
← S••••••• C•••••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← A••• C•••••• M••••••••• L••Registered adviserother investment adviser, common control

Dated events

Occurred
Mar 6, 2025
Left the SEC roster
••• Locked
Form ADVobserved 8 days ago
$2.5B
Occurred
Jan 30, 2025
Firm absorbed
••• Locked
Form ADVobserved 8 days ago
4 advisors
Occurred
Jan 30, 2025
A•••••• firm change
••• Locked
Form ADVobserved 8 days ago
Occurred
Jan 30, 2025
A•••••• firm change

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:23a62eab-3b29-f2e5-d4c7-c7825fc24a8c
First observed: Mar 30, 2012
Last observed: Mar 26, 2024 30 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.