DFX Intelligence

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

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RIA / WealthRegistered adviserother adviserSEC registeredRAUM 100m 1b

L••••• G••••• E••••• M••••••••• I•••

CRD 317604

TORONTO

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Search this name across graphsid dfx:ria:95ab5133-403c-3616-6d81-40a5c68ce2f1

Data as of Mar 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:42 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 3
On other graphs: 0
Observed: Nov 22, 2021 to Mar 19, 2026
10 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=0.11 fund_share=0.85 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $333M••• Locked
Discretionary RAUM: $333M
Private client RAUM: $37.1Mderived••• Locked
Private client share: 11%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L••••• H•••••• I•••	DIRECT OWNER	E	yes	04/2014	Nov 22, 2021	Mar 27, 2024
P•••• C••••• W••••••	Owner	C	yes	04/2014	Nov 22, 2021	Mar 27, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
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
2025	$333M	$420M	-20.8%	$420M	-7.4%	7	9	0	0

Relationships

Controls (3)

← P•••• C••••• W••••••OwnerOWNER, ownership code C, individual
Nov 22, 2021 to Mar 27, 2024factForm ADV
← S•••••••• D•••••• R•••••OwnerOWNER, ownership code C, individual
Nov 22, 2021 to Mar 27, 2024factForm ADV
← L••••• H•••••• I•••OwnerDIRECT OWNER, ownership code E, foreign entity
Nov 22, 2021 to Mar 27, 2024factForm ADV

Owns (1)

← H•••• S•••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual

Dated events

Occurred
Mar 30, 2023
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-251M
Occurred
Jan 9, 2023
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Nov 22, 2021
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:95ab5133-403c-3616-6d81-40a5c68ce2f1
First observed: Nov 22, 2021
Last observed: Mar 19, 2026 6 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.