DFX Intelligence

P••••••• I••••••••• C•••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

P••••••• I••••••••• C•••••• I•••

CRD 126396

BURLINGTON, ONTARIO

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Search this name across graphsid dfx:ria:512b2757-c317-313f-0964-036e1d20bd84

Data as of Apr 17, 2012 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:37 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 0
On other graphs: 0
Observed: Dec 22, 2011 to Apr 17, 2012
3 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: $1.4B••• Locked
Discretionary RAUM: $1.4B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 17
SEC number

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•• G••••• H••••••• I••• •••••••• N•••• A•• L•••••••	CONTROLLING SHAREHOLDER	E	yes	01/2008	Dec 22, 2011	Apr 17, 2012
A•• L••••••	CONTROLLING SHAREHOLDER	E	yes	11/2007	Dec 22, 2011	Apr 17, 2012

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A•••••••• G•••••• I•••••••• C•••••• L••••••	n/a	n/a	n/a	N	yes	n/a
A•• F•••••• L••••••	n/a	n/a	n/a	N	yes	n/a
A•• I••••••••• I••••••••• L••••••	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Dec 22, 2011	$1.4B	$1.4B	n/a	n/a	n/a	n/a	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$1.4B	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Controls (9)

← L•••••••• M••••••• A••••••OwnerDIRECTOR, PRESIDENT AND CONTROLLING SHAREHOLDER, ownership code E, individual
Dec 22, 2011 to presentfactForm ADV
← M••••• B••••• J••••OwnerDIRECTOR, ownership code NA, individual
Dec 22, 2011 to presentfactForm ADV
← A••••••• R•••••• W••••••OwnerDIRECTOR AND SENIOR VICE PRESIDENT, ownership code NA, individual
Dec 22, 2011 to presentfactForm ADV
← G••••• K••••• J••••OwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Dec 22, 2011 to present

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:512b2757-c317-313f-0964-036e1d20bd84
First observed: Dec 22, 2011
Last observed: Apr 17, 2012 175 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.