DFX Intelligence

N•••• R••• M••••••••• L•: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserno raum reportedSEC registeredRAUM none

N•••• R••• M••••••••• L•

CRD 164449

TORONTO, ON

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Search this name across graphsid dfx:ria:53d6bc1c-7974-0db5-15e8-f3efa139270f

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 3
On other graphs: 0
Observed: Mar 3, 2015 to Mar 31, 2026
17 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: no raum reportedderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 5
Advisory employees: 4
Offices: 0Schedule D 1.F, beyond the principal office

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G••••••• C••••••• L•••••	Shareholder	D	yes	11/2006	Mar 20, 2015	Sep 2, 2024
G••••••• C••••••• L•••••	CCO AND MANAGING DIRECTOR	Na	yes	05/2017	Mar 20, 2015	Sep 2, 2024

Affiliates (Item 7.A)

••• Locked

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

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 31, 2026

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$0	$0	n/a	n/a	n/a	5	5	0	0

Relationships

Controls (3)

← G••••••• C••••••• L•••••OwnerSHAREHOLDER, ownership code D, individual
Mar 20, 2015 to Sep 2, 2024factForm ADV
← N•••• R••• M••••••••• I•••OwnerOWNER, ownership code F, foreign entity
Mar 3, 2015 to Sep 2, 2024factForm ADV
← N•••• R••• M••••••••• L••OwnerGENERAL PARTNER, ownership code NA, domestic entity
May 25, 2016 to Sep 2, 2024factForm ADV

Dated events

Occurred
Mar 31, 2026
Ria ownership band change
••• Locked
Form ADVobserved today
Occurred
Mar 31, 2026
Ria ownership band change
••• Locked
Form ADVobserved today
Occurred
Mar 3, 2015
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:53d6bc1c-7974-0db5-15e8-f3efa139270f
First observed: Mar 3, 2015
Last observed: Mar 31, 2026 5 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.