DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 10b 100b

F•••• C•••••• C•••••••••

CRD 154966

MONTREAL

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Search this name across graphsid dfx:ria:5dcf84a6-00bc-d298-7113-a571034fc688

Data as of Apr 1, 2013 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 33
Dated events: 0
On other graphs: 0
Observed: Jan 4, 2012 to Apr 1, 2013
9 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: $57B••• Locked
Discretionary RAUM: $56B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 231
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••• I•••	Shareholder	D	yes	10/2006	Jan 4, 2012	Apr 1, 2013
B•••••••• C•••••••••	Director	Na	yes	06/2010	Jan 4, 2012	Apr 1, 2013

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
F•••• A•••• I••••••••• I•••	n/a	n/a	n/a	Y	yes	n/a
F•••• P••••••••• L••••••	n/a	n/a	n/a	Y	no	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	n/a	no
Calgary	n/a	Canada	n/a	no
Toronto	n/a	Canada	n/a	no
Vancouver	n/a	Canada	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2012	Apr 1, 2013

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2012	$57B	$29B	96.6%	n/a	n/a	231	n/a	n/a	n/a

Relationships

Affiliated with (4)

← F•••• C•••••• I•••Registered adviserother investment adviser, bank, pooled vehicle sponsor, control
factForm ADV
← F•••• C•••••• ••• L••••••Registered adviserother investment adviser, bank, pooled vehicle sponsor, control
factForm ADV
← F•••• C•••••• •••• L••••••Registered adviserother investment adviser, bank, pooled vehicle sponsor, control
factForm ADV
← B•• A•• M••••••••• L••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5dcf84a6-00bc-d298-7113-a571034fc688
First observed: Jan 4, 2012
Last observed: Apr 1, 2013 164 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.

Controls (25)

← P•••••••• L••OwnerDIRECTOR, ownership code NA, individual
Apr 10, 2012 to presentfactForm ADV
← J••••• M••••• L•••••OwnerEXECUTIVE VP, PRIVATE WEALTH, ownership code NA, individual
Jan 4, 2012 to presentfactForm ADV
← D••••••••• J•••••••OwnerSHAREHOLDER, ownership code E, individual
Jan 4, 2012 to presentfactForm ADV
← P••••••••• D••••• B••••OwnerDIRECTOR, VICE CHAIRMAN AND EXECUTIVE VP, INSTITUTIONAL MANAGEMENT, ownership code NA, individual
Jan 4, 2012 to presentfactForm ADV
← S••••• A•••••• R••••••OwnerDIRECTOR, ownership code NA, individual
Jan 4, 2012 to presentfactForm ADV
← V•••••• L••••OwnerDIRECTOR, ownership code NA, individual
Apr 10, 2012 to presentfactForm ADV
← S•••• D••••• R•••••••OwnerDIRECTOR, ownership code NA, individual
Jan 4, 2012 to presentfactForm ADV
← B••••••••• P•••••OwnerSENIOR VP FINANCE, ownership code NA, individual
Jan 4, 2012 to presentfactForm ADV
← B•••••••• S••••••OwnerCOO, DIRECTOR, ownership code NA, individual
Jan 4, 2012 to presentfactForm ADV
← N•••••• N•••OwnerDIRECTOR, ownership code NA, individual
Jan 4, 2012 to presentfactForm ADV
← D•• R•••••• V•••••••OwnerSENIOR VP LEGAL AFFAIRS, CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 4, 2012 to presentfactForm ADV
← M••••• J••• C•••••OwnerDIRECTOR, ownership code NA, individual
Jan 4, 2012 to presentfactForm ADV
← B•••••••• C•••••••••OwnerDIRECTOR, ownership code NA, individual
Jan 4, 2012 to presentfactForm ADV
← S••••••••• A••••OwnerSENIOR VP, HUMAN RESOURCES, ownership code NA, individual
Jan 4, 2012 to presentfactForm ADV
← W•••••• W•••••• R•••OwnerDIRECTOR, ownership code NA, individual
Jan 4, 2012 to presentfactForm ADV
← B••••••••• D••••OwnerDIRECTOR, ownership code NA, individual
Jan 4, 2012 to presentfactForm ADV
← V•••• A••••••••OwnerEXECUTIVE VICE PRESIDENT, STRATEGIC INVESTMENT P•••••••••S, ownership code NA, individual
Apr 1, 2013 to presentfactForm ADV
← A••••••• I•••OwnerSHAREHOLDER, ownership code D, foreign entity
Jan 4, 2012 to presentfactForm ADV
← D••••••••• S•••••• F••••••••• I•••OwnerSHAREHOLDER, ownership code C, foreign entity
Jan 4, 2012 to presentfactForm ADV
← D•• C•••••• I•••OwnerSHAREHOLDER, ownership code D, foreign entity
Jan 4, 2012 to presentfactForm ADV
← F•••• C•••••• L•OwnerSHAREHOLDER, ownership code C, foreign entity
Apr 1, 2013 to presentfactForm ADV
← F•••• C•••••••••OwnerSHAREHOLDER, ownership code E, foreign entity
Jan 4, 2012 to presentfactForm ADV
← F•••• H••••••• I•••OwnerGENERAL PARTNER, ownership code F, foreign entity
Apr 1, 2013 to presentfactForm ADV
← F•••• I••••••••• I•••OwnerSHAREHOLDER, ownership code E, foreign entity
Jan 4, 2012 to presentfactForm ADV
← N••••••• B••• O• C•••••OwnerSHAREHOLDER, ownership code E, foreign entity
Apr 1, 2013 to presentfactForm ADV