DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

N•••••••• C•••••• A••••••• L•••

CRD 145014

TORONTO, ONTARIO

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Search this name across graphsid dfx:ria:8ffc4278-2e9d-528b-52b0-fcbaa5ca5543

Data as of Jul 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 26
Dated events: 12
On other graphs: 1
Observed: Nov 25, 2011 to Jul 31, 2026
23 observations

Across DFX

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

Private Equityidentity

N•••••••• C•••••• A••••••• L•••

Private equity manager · shared crd

Facts

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

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=0.96 institutional_share=0.0 related_bd=true related_bank=true bd_reps=3.0
Regulatory AUM: $585M••• Locked
Discretionary RAUM: $585M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 156

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
N•••••••• I••••••••• C•••••• P••••••• ••• I•• L•	Other Private Fund	$473M	Jul 31, 2026	11	Dec 22, 2021	reported	021-395926
N•••••••• C•••••• O••••••••• ••• L•	Private Equity Fund	$82.8M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••••• L•••	Shareholder	C	yes	10/2020	Nov 26, 2020	Dec 24, 2024
D••••••••• A••••• R••••	Trustee	F	yes	10/2013	Nov 26, 2020	Dec 24, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M•••••••• I••••••••• C•••••••••	n/a	Asset manager	$18B	N	yes	n/a
M•••••••• I••••••••• E••••• L••••••	n/a	Asset manager	$5.3B	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
2024	$585M	$600M	-2.5%	$384M	15.1%	156	165	0	0

Relationships

Affiliated with (3)

→ M•••••••• I•••••••••Registered adviserother investment adviser, common control
factForm ADV
→ M•••••••• I••••••••• E••••• L••••••Registered adviserother investment adviser, bank, common control
factForm ADV
→ M•••••••• I••••••••• A••• L••••••Registered adviserother investment adviser, common control
factForm ADV

Advises (4)

→ N•••••••• C•••••• O••••••••• ••• L•

Dated events

Occurred
Dec 24, 2024
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Dec 21, 2023
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Dec 21, 2023
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Dec 21, 2023
Control person left
••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8ffc4278-2e9d-528b-52b0-fcbaa5ca5543
First observed: Nov 25, 2011
Last observed: Jul 31, 2026 54 days 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 (15)

← M•••••••• I•••••••••OwnerPARTNER, ownership code E, foreign entity
Nov 26, 2020 to Dec 24, 2024factForm ADV
← D••••••••• P•••• G••OwnerTRUSTEE, ownership code F, individual
Nov 26, 2020 to Dec 24, 2024factForm ADV
← F••••••• G••••••• J••••OwnerTRUSTEE, ownership code F, individual
Dec 24, 2024 to Dec 24, 2024factForm ADV
← W••••• S•••••• D••••••OwnerMANAGING DIRECTOR AND MANAGING PARTNER/DIRECTOR, ownership code NA, individual
Nov 25, 2011 to Dec 24, 2024factForm ADV
← F••••• M••••••• W••••••OwnerMANAGING DIRECTOR/DIRECTOR, ownership code NA, individual
Nov 25, 2011 to Dec 24, 2024factForm ADV
← P•••••••• J••••••• E••••• G•••••OwnerMANAGING DIRECTOR/DIRECTOR, ownership code NA, individual
Nov 25, 2011 to Dec 24, 2024factForm ADV
← D••••••••• A••••• R••••OwnerTRUSTEE, ownership code F, individual
Nov 26, 2020 to Dec 24, 2024factForm ADV
← D•••• G•••• A•••••OwnerTRUSTEE, ownership code F, individual
Dec 21, 2023 to Dec 24, 2024factForm ADV
← A•••••••• L•••OwnerSHAREHOLDER, ownership code C, foreign entity
Nov 26, 2020 to Dec 24, 2024factForm ADV
← I•• F•••••••• I•••OwnerSHAREHOLDER, ownership code E, foreign entity
Nov 26, 2020 to Dec 24, 2024factForm ADV
← N•••••••• C•••••• G•••• L•••OwnerSHAREHOLDER-VOTING SPECIAL SHARES, ownership code E, foreign entity
Apr 26, 2017 to Dec 24, 2024factForm ADV
← N•••••••• C•••••• P••••••• L•••OwnerDIRECT OWNER, ownership code E, foreign entity
Nov 25, 2011 to Dec 24, 2024factForm ADV
← P•••• C••••••••• O• C•••••OwnerSHAREHOLDER, ownership code E, foreign entity
Nov 26, 2020 to Dec 24, 2024factForm ADV
← P•••• F•••••••• C••••OwnerSHAREHOLDER, ownership code D, foreign entity
Nov 26, 2020 to Dec 24, 2024factForm ADV
← T•• D•••••••• F••••• R•••••••• T••••OwnerSHAREHOLDER, ownership code D, foreign entity
Nov 26, 2020 to Dec 24, 2024factForm ADV