DFX Intelligence

S••••• A•••• M••••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserother adviserSEC registeredRAUM 100m 1b

S••••• A•••• M••••••••• I•••

CRD 160963

KITCHENER

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Search this name across graphsid dfx:ria:841294b5-aa9a-2dd0-0aa1-32f537198194

Data as of Jan 6, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:18 PM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 9
On other graphs: 2
Observed: May 3, 2012 to Jan 6, 2026
45 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

S••••• A•••• M••••••••• I•••

Private equity manager · shared crd

Private Creditidentity

S••••• A•••• M••••••••• I•••

Private credit manager · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: other adviserderivedprivate_client_share=0.0 fund_share=0.55 institutional_share=0.45 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $363M••• Locked
Discretionary RAUM: $199M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 27

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S••••• G••••• G••••• M•••••• P• F••• 2•• L•	Private Equity Fund	$108M	Jan 6, 2026	96	Sep 27, 2019	reported	021-347235
S••••• F••••••• M•••••• F••• 2• L•	Private Equity Fund	$99.8M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H••••• P••••••• N••	PARTNER, BUSINESS D•••••••••	B	yes	10/2022	Oct 22, 2022	Sep 19, 2024
L•••••• M•••••• P•••	PARTNER, FINANCE & OPERATIONS	B	yes	10/2022	Oct 22, 2022	Sep 19, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S••••• F••••••• G•••••• P•••••• I•••	n/a	n/a	n/a	Y	no	n/a
S••••• F••••••• H••••••• I•••	n/a	n/a	n/a	Y	no	n/a
S••••• G•••••• P•••••• 2• I••	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Amsterdam	n/a	Netherlands	2	no
Luxembourg	n/a	Luxembourg	1	no
Singapore	n/a	Singapore	1	no
n/a	n/a	n/a	0	no

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	$363M	$379M	-4.2%	$320M	4.3%	27	21	4	4

Relationships

Advises (7)

→ S••••• G••••• G••••• M•••••• P• F••• 2•• L•Private fundPrivate Equity Fund, IA
Sep 27, 2019 to presentfactForm ADV
→ S••••• F••••••• M•••••• F••• 1• L•Private fundPrivate Equity Fund, IA
May 3, 2012 to presentfactForm ADV
→ S••••• F••••••• M•••••• F••• 2• L•Private fundPrivate Equity Fund, IA
Mar 13, 2014 to presentfactForm ADV
→ S••••• T•••• F•••••• F••• L•

Dated events

Occurred
Oct 22, 2022
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Oct 22, 2022
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Oct 22, 2022
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Oct 5, 2022
Control person left

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:841294b5-aa9a-2dd0-0aa1-32f537198194
First observed: May 3, 2012
Last observed: Jan 6, 2026 8 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.