DFX Intelligence

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

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RIA / WealthRegistered adviserother adviserSEC registeredRAUM 1b 10b

F••••••• G••••• • P•••• I•••

CRD 121591

TORONTO

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Search this name across graphsid dfx:ria:7b0ad714-12f6-064f-6000-d06553ca2298

Data as of May 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 13
On other graphs: 0
Observed: Mar 29, 2012 to May 15, 2026
29 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: other adviserderivedprivate_client_share=0.09 fund_share=0.15 institutional_share=0.44 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $6.0B••• Locked
Discretionary RAUM: $4.5B
Private client RAUM: $525Mderived••• Locked
Private client share: 9%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
A••••••••• M••••••• G••••• I•••	SHAREHOLDER - SERIES A	E	yes	06/2005	Mar 29, 2012	Aug 8, 2024
A•• C••••• C••••	Shareholder	D	yes	07/2005	Mar 29, 2012	Aug 8, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A•• F•••• L••	n/a	Asset manager	$18B	N	yes	n/a

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
2025	$6.0B	$4.7B	26.1%	$5.1B	5.5%	46	45	0	0

Relationships

Affiliated with (2)

→ A•• F•••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← A•• F•••• L••Registered adviserother investment adviser, common control
factForm ADV

Controls (9)

← B••••• J•••• C••••••OwnerSENIOR VICE PRESIDENT, DIRECTOR, ownership code A, individual
Mar 29, 2012 to Aug 8, 2024factForm ADV
← P••••••••• B••••• W••••••Owner

Dated events

Occurred
Mar 30, 2026
Regulatory AUM changed
F••••••• G••••• • P•••• I••• reported RAUM $6.0B, up 26% from $4.7B (2025-11-13 to 2026-03-30)
Form ADVobserved 7 days ago
$1.2B
Occurred
Jul 9, 2024
Control person left
Ann Kimberley Woolverton (Executive Vice President, Executive Committee Member) no longer on Schedule A of F••••••• G••••• • P•••• I••• (listed 2024-06-21, absent 2024-07-09)
Form ADVobserved 7 days ago
Occurred
Jun 21, 2024
Control person joined
Paul Spagnolo (Chief Operating Officer & Chief Compliance Officer) appeared on Schedule A of F••••••• G••••• • P•••• I•••
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7b0ad714-12f6-064f-6000-d06553ca2298
First observed: Mar 29, 2012
Last observed: May 15, 2026 4 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.