DFX Intelligence

P•••••• S••••••••• U••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

P•••••• S••••••••• U••

CRD 323382

MONTR•••, QUEBEC

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Search this name across graphsid dfx:ria:90c14343-c273-ca5a-f69b-e678b2d39132

Data as of Jun 26, 2025 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 17
Dated events: 6
On other graphs: 0
Observed: Sep 2, 2022 to Jun 26, 2025
7 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: $685M••• Locked
Discretionary RAUM: $685M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 14
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••• R•••••• T••••	BOARD MEMBER	Na	yes	06/2022	Sep 2, 2022	Mar 28, 2024
C••••• M• S••• N••	CHIEF COMPLIANCE OFFICER	Na	yes	02/2022	Sep 2, 2022	Mar 28, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S•••• A••••••• S•••••• ••• L••	n/a	Asset manager	$1.7B	N	yes	n/a
S•••• A•••• M••••••••• ••••••• L•••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024	Apr 2, 2025

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	$685M	$791M	-13.4%	n/a	n/a	14	17	0	0

Relationships

Affiliated with (2)

← S•••• A••••••• S•••••• ••• L••Registered adviserother investment adviser, common control
factForm ADV
→ S•••• A••••••• S•••••• ••• L••Registered adviserother investment adviser, common control
factForm ADV

Controls (12)

← W••••• B••••• N••••••OwnerSHAREHOLDER, ownership code D, individual
Sep 2, 2022 to Mar 28, 2024factForm ADV
← W••••• B••••• S••••Owner

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Mar 28, 2024
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Nov 2, 2023
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
May 30, 2023
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:90c14343-c273-ca5a-f69b-e678b2d39132
First observed: Sep 2, 2022
Last observed: Jun 26, 2025 15 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.