DFX Intelligence

Data Factory

O•••• B•••• U•• I••••••••• M••••••••• L••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

O•••• B•••• U•• I••••••••• M••••••••• L••••••

CRD 132242

VANCOUVER, BRITISH COLUMBIA

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:4bd63d58-57ef-c094-007b-4d8050dd93e4

Data as of Jun 4, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:21 AM UTC and rebuilt at most every 15 minutes.

Relationships: 35
Dated events: 1
On other graphs: 0
Observed: Nov 18, 2011 to Jun 4, 2026
26 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: independent wealth managerderivedprivate_client_share=0.68 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=0.0
Regulatory AUM: $175MItem 5.F on the latest filing (2026-06-04); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $175M
Private client RAUM: $119MderivedItem 5.D individuals plus high net worth individuals
Private client share: 68%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 29
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first; showing 25 of 30

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
C•••••••• A•• A••••••	Chartered Financial Analyst	VANCOUVER, BRITISH COLUMBIA	20	29	n/a	no
M•••••• S•••• H••••	Chartered Financial Analyst	VANCOUVER, BRITISH COLUMBIA	20

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
D•••••••• D••••• A••	CHIEF EXECUTIVE OFFICER	Na	yes	06/2007	Nov 18, 2011	Jun 11, 2024
O•••• B•••• L••••••	Parent	E	yes	06/2004	Nov 18, 2011

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
O•••• B•••• F•••••••• S••••••• L••••••	n/a	n/a	n/a	N	yes	n/a
O•••• B•••• L••••••	n/a	n/a	n/a	Y	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
CHILLIWACK, BRITISH COLUMBIA	n/a	Canada	2	no
KELOWNA, BRITISH COLUMBIA	n/a	Canada	2	no
COURTENAY, BRITISH COLUMBIA	n/a	Canada	1	no
LANGLEY, BC	n/a	Canada	1	no

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	Offices	Private funds	Fund GAV

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

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
2024	$175M	$131M	33.4%	$118M	13.8%	30	37	5	5

Relationships

Registered with (29)

← Phillip Hugh AshworthAdvisorregistration: previous registration
Dec 12, 2019 to Nov 7, 2023factForm ADV
← Matthew Brett Alexander MacGrottyAdvisorregistration: current employment
Jan 20, 2025 to presentfactForm ADV
← Roger Maxwell HagerAdvisorregistration: current employment
Jul 15, 2024 to presentfactForm ADV
← Robert William Wolfe

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Show 1 bookkeeping events

Occurred
Sep 15, 2026
Rajeena Kaur Minhas registered as an investment adviser representative at O•••• B•••• U•• I••••••••• M••••••••• L••••••

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4bd63d58-57ef-c094-007b-4d8050dd93e4
First observed: Nov 18, 2011
Last observed: Jun 4, 2026 3 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.

2024	Jun 11, 2024	$150M	$150M	33	33	5	n/a	n/a
2023	Jun 8, 2023	$131M	$131M	37	37	5	n/a	n/a
2022	Jun 13, 2022	$181M	$181M	36	36	5	n/a	n/a
2021	Jun 3, 2021	$118M	$118M	37	35	5	n/a	n/a
2020	Jun 10, 2020	$84.9M	$84.9M	36	34	5	n/a	n/a
2019	Jun 4, 2019	$89.7M	$89.7M	36	32	5	n/a	n/a
2018	Jun 19, 2018	$86.6M	$86.6M	35	30	5	n/a	n/a
2017	Jun 5, 2017	$112M	$112M	31	28	n/a	n/a	n/a
2016	Jun 3, 2016	$85.0M	$85.0M	29	26	n/a	n/a	n/a
2015	May 13, 2015	$77.4M	$77.4M	28	25	n/a	n/a	n/a
2014	Jun 4, 2014	$77.5M	$77.5M	27	24	n/a	n/a	n/a
2013	Jun 3, 2013	$63.2M	$63.2M	27	24	n/a	n/a	n/a
2012	Jun 7, 2012	$53.0M	$53.0M	n/a	n/a	n/a	n/a	n/a