DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

G••••••• I••••••••• C•••••• C••••

CRD 146982

TORONTO

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Search this name across graphsid dfx:ria:80395420-87ba-65be-7c48-ac9582d774de

Data as of Nov 17, 2025 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Nov 22, 2011 to Nov 17, 2025
20 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=0.74 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $544M••• Locked
Discretionary RAUM: $544M
Private client RAUM: $401Mderived••• Locked
Private client share: 74%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 9

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••• A•••••	CHAIRMAN/SHAREHOLDER	B	yes	05/2009	Nov 22, 2011	Nov 25, 2024
B••••••• M•••	Shareholder	B	yes	04/2005	Nov 22, 2011	Nov 25, 2024

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
2024	$544M	$356M	52.8%	$341M	16.9%	9	8	0	0

Relationships

Controls (3)

← R•••• G•••••• A••••••••OwnerPRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR/SHAREHOLDER, ownership code C, individual
Nov 22, 2011 to Nov 25, 2024factForm ADV
← B••••••• A•••••OwnerCHAIRMAN/SHAREHOLDER, ownership code B, individual
Nov 22, 2011 to Nov 25, 2024factForm ADV
← B••••••• M•••OwnerSHAREHOLDER, ownership code B, individual
Nov 22, 2011 to Nov 25, 2024factForm ADV

Owns (4)

← V••••••• L•••••• M•••••••OwnerSHAREHOLDER, ownership code NA, individual

Dated events

Occurred
Nov 25, 2024
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$102M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:80395420-87ba-65be-7c48-ac9582d774de
First observed: Nov 22, 2011
Last observed: Nov 17, 2025 10 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.