DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

N•• G•••••• I••••••••• C•••••• L••••••

G•••••• INVESTMENT C•••••• INC., CRD 154825

TORONTO, ON

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:c4912c95-f61f-d35c-bfb2-a634cfe0ed03

Data as of Apr 2, 2014 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:32 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Mar 28, 2012 to Apr 2, 2014
4 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: $536M••• Locked
Discretionary RAUM: $220M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 11
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••• C•••••••••	SOLE SHAREHOLDER	E	yes	09/2008	Mar 28, 2012	Apr 2, 2014
G••••••• N•••••• E•••••	CHIEF COMPLIANCE OFFICER, DIRECTOR, PRESIDENT, CEO, CHAIRMAN	Na	yes	01/2007	Mar 28, 2012	Apr 2, 2014

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
D••••• G•••••• I•••••••• A••••• L•••	n/a	n/a	n/a	N	yes	n/a
D••••• S••••••••• E••••• L•• •••••••• D••••• S••••••••• E••••• 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
2013	Apr 2, 2014

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2013	$536M	$1.1B	-49.7%	n/a	n/a	11	10	n/a	n/a

Relationships

Controls (4)

← G••••••• N•••••• E•••••OwnerCHIEF COMPLIANCE OFFICER, DIRECTOR, PRESIDENT, CEO, CHAIRMAN, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← J•••• W••••••• M•••••OwnerDIRECTOR, VICE PRESIDENT, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← P•••••• L••••• O•OwnerDIRECTOR, VICE PRESIDENT, CFO, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← D••••• C•••••••••OwnerSOLE SHAREHOLDER, ownership code E, foreign entity
Mar 28, 2012 to present

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c4912c95-f61f-d35c-bfb2-a634cfe0ed03
First observed: Mar 28, 2012
Last observed: Apr 2, 2014 151 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.