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

MONEGY, INC.

CRD 128504

TORONTO, ONTRARIO

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Search this name across graphsid dfx:ria:d804e9f1-3c3f-4c91-07c1-7761cae33df7

Data as of Apr 13, 2017 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 26
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Apr 13, 2017
22 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: $765MItem 5.F on the latest filing (2017-04-13); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $765M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 11
Advisory employees: 7
Accounts: 9
SEC number: 801-62435
CRD: 128504
Filings on the tape: 22
First filed: Mar 30, 2012
Latest filed: Apr 13, 2017
Organised: Corporation

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
Avila, Nelson	CHIEF FINANCIAL OFFICER	Na	yes	07/2016	Sep 27, 2016	Apr 13, 2017
BANK OF MONTREAL	SOLE SHAREHOLDER OF BMO FINANCIAL CORP.	E	yes	09/1989	Mar 30, 2012	Apr 13, 2017
BMO ASSET MANAGEMENT U.S.	SOLE SHAREHOLDER OF MONEGY, INC	E	yes	09/2003	Mar 30, 2012	Apr 13, 2017
BMO FINANCIAL CORP.	SOLE SHAREHOLDER OF BMO ASSET MANAGEMENT CORP.	E	yes	09/1989	Mar 30, 2012	Apr 13, 2017
COOPER, BARRY, MERRITT	Director	Na	yes	12/2009	Mar 30, 2012	Apr 13, 2017
ENOCHS, PHILLIP, EDWARD	Director	Na	yes	11/2016	Jan 4, 2017	Apr 13, 2017
Mohammed, Joan, Z	HEAD AND DIRECTOR	Na	yes	06/2016	Jul 28, 2016	Apr 13, 2017
MARCHILDON, LORI, JANE	MANAGING DIRECTOR	Na	no	03/2006	Mar 30, 2012	Apr 13, 2017
MOONEY, MELISSA, MARY	CHIEF COMPLIANCE OFFICER	Na	no	01/2015	Jan 9, 2015	Apr 13, 2017

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
F&C MANAGEMENT LIMITED	n/a	Former SEC adviser	$90B	N	yes	n/a
BMO PRIVATE INVESTMENT COUNSEL INC.	n/a	Bank affiliated wealth	$40B	N	yes	n/a
TAPLIN, CANIDA & HABACHT, LLC	n/a	Institutional manager	$11B	N	yes	n/a
CTC MYCFO, LLC	n/a	Bank affiliated wealth	$10.0B	N	yes	n/a
PYRFORD INTERNATIONAL LTD	n/a	Other adviser	$7.1B	N	yes	n/a
BMO ASSET MANAGEMENT CORP.	n/a	Other adviser	$6.2B	Y	yes	n/a
BMO HARRIS FINANCIAL ADVISORS, INC	n/a	Former SEC adviser	$5.1B	N	yes	n/a
STOKER OSTLER WEALTH ADVISORS, INC.	n/a	Bank affiliated wealth	$3.7B	N	yes	n/a
THAMES RIVER CAPITAL LLP	n/a	Former SEC adviser	$3.1B	N	yes	n/a
LGM INVESTMENTS LIMITED	n/a	Former SEC adviser	$2.9B	N	yes	n/a
BMO CAPITAL MARKETS CORP.	n/a	Former SEC adviser	$1.2B	N	yes	n/a
BMO NESBITT BURNS SECURITIES LTD.	n/a	Bd affiliated wealth	$1.2B	N	yes	n/a
BMO GLOBAL ASSET MANAGEMENT (ASIA) LIMITED	n/a	Former SEC adviser	$1.0B	N	yes	n/a
LLOYD GEORGE INVESTMENT MANAGEMENT (BERMUDA) LTD	n/a	Former SEC adviser	$27.0M	N	yes	n/a
BANK OF MONTREAL	n/a	n/a	n/a	Y	yes	n/a
BMO ASSET MANAGEMENT INC.	n/a	n/a	n/a	N	yes	n/a
BMO CAPITAL MARKETS LIMITED	n/a	n/a	n/a	N	yes	n/a
BMO DELAWARE TRUST COMPANY	n/a	n/a	n/a	N	yes	n/a
BMO GLOBAL TAX ADVANTAGE FUNDS INC.	n/a	n/a	n/a	N	yes	n/a
BMO HARRIS BANK N.A.	n/a	n/a	n/a	N	yes	Wi
BMO INVESTMENT DISTRIBUTORS, LLC	n/a	n/a	n/a	N	yes	n/a
BMO INVESTMENTS INC.	n/a	n/a	n/a	N	yes	n/a
BMO MONTHLY DIVIDEND FUND LTD.	n/a	n/a	n/a	Y	yes	n/a
BMO NESBITT BURNS SECURITIES LTD.	n/a	n/a	n/a	N	yes	n/a
BMO NESBITT BURNS, INC.	n/a	n/a	n/a	N	yes	n/a
BMO REP ASSET MANAGEMENT PLC	n/a	n/a	n/a	N	yes	n/a
BMO TRUST COMPANY (CANADA)	n/a	n/a	n/a	N	yes	n/a
F&C ASSET MANAGEMENT PLC	n/a	n/a	n/a	N	yes	n/a
F&C ASSET MANAGERS LTD	n/a	n/a	n/a	N	yes	n/a
F&C INVESTMENT BUSINESS LIMITED	n/a	n/a	n/a	N	yes	n/a
F&C MANAGERS LIMITED	n/a	n/a	n/a	N	yes	n/a
GGOF CANADIAN EQUITY FUND LTD.	n/a	n/a	n/a	Y	yes	n/a
THAMES RIVER MULTI-CAPITAL LLP	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016	Mar 30, 2017	$1.8B	$1.8B	11	7	n/a	n/a	n/a
2015	Mar 29, 2016	$1.9B	$1.9B	12	7	n/a	n/a	n/a
2014	Mar 26, 2015	$2.2B	$2.2B	12	8	n/a	n/a	n/a
2013	Mar 31, 2014	$2.6B	$2.6B	11	7	n/a	n/a	n/a
2012	Apr 1, 2013	$1.6B	$1.6B	13	8	n/a	n/a	n/a
2011	Mar 30, 2012	$2.1B	$2.1B	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$765M	$1.9B	-58.8%	$2.6B	-33.5%	11	12	n/a	n/a

Relationships

Affiliated with (17)

← LGM INVESTMENTSRegistered adviserother investment adviser, common control
factForm ADV
→ PYRFORD INTERNATIONAL LTDRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ BMO ASSET MANAGEMENT CORP.Registered adviserother investment adviser, bank, pooled vehicle sponsor, control, common control
factForm ADV
→ LGM INVESTMENTSRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ LGM INVESTMENTSRegistered adviserother investment adviser, common control
factForm ADV
→ BMO FAMILY OFFICE, LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ STOKER OSTLER, A PART OF BMO FINANCIAL GROUPRegistered adviserother investment adviser, common control
factForm ADV
→ BMO GLOBAL ASSET MANAGEMENTRegistered adviserother investment adviser, bank, common control
factForm ADV
→ BMO HARRIS FINANCIAL ADVISORS, INCRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ LOOP CAPITAL ASSET MANAGEMENTRegistered adviserother investment adviser, common control
factForm ADV
→ THAMES RIVER CAPITAL LLPRegistered adviserother investment adviser, common control
factForm ADV
→ BMO PRIVATE INVESTMENT COUNSEL INC.Registered adviserother investment adviser, common control
factForm ADV
→ COLUMBIA THREADNEEDLE (EM) INVESTMENTS LIMITEDRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ BMO CAPITAL MARKETS CORP.Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ BMO NESBITT BURNS SECURITIES LTD.Registered adviserother investment adviser, common control
factForm ADV
← LGM INVESTMENTSRegistered adviserother investment adviser, common control
factForm ADV
← M&I INVESTMENT MANAGEMENT CORP.Registered adviserother investment adviser, common control
factForm ADV

Controls (7)

← BMO ASSET MANAGEMENT U.S.OwnerSOLE SHAREHOLDER OF MONEGY, INC, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← ENOCHS, PHILLIP, EDWARDOwnerDIRECTOR, ownership code NA, individual
Jan 4, 2017 to presentfactForm ADV
← COOPER, BARRY, MERRITTOwnerDIRECTOR, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← Mohammed, Joan, ZOwnerHEAD AND DIRECTOR, ownership code NA, individual
Jul 28, 2016 to presentfactForm ADV
← Avila, NelsonOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Sep 27, 2016 to presentfactForm ADV
← BANK OF MONTREALOwnerSOLE SHAREHOLDER OF BMO FINANCIAL CORP., ownership code E, foreign entity
Mar 30, 2012 to presentfactForm ADV
← BMO FINANCIAL CORP.OwnerSOLE SHAREHOLDER OF BMO ASSET MANAGEMENT CORP., ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV

Owns (2)

← MOONEY, MELISSA, MARYOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 9, 2015 to presentfactForm ADV
← MARCHILDON, LORI, JANEOwnerMANAGING DIRECTOR, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d804e9f1-3c3f-4c91-07c1-7761cae33df7
First observed: Mar 30, 2012
Last observed: Apr 13, 2017 114 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.

MONEGY, INC.

CRD 128504

TORONTO, ONTRARIO

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:d804e9f1-3c3f-4c91-07c1-7761cae33df7

Data as of Apr 13, 2017 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:46 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

Avila, Nelson

CHIEF FINANCIAL OFFICER

yes

07/2016

Sep 27, 2016

Apr 13, 2017

BANK OF MONTREAL

SOLE SHAREHOLDER OF BMO FINANCIAL CORP.

yes

09/1989

Mar 30, 2012

Apr 13, 2017

BMO ASSET MANAGEMENT U.S.

SOLE SHAREHOLDER OF MONEGY, INC

yes

09/2003

Mar 30, 2012

Apr 13, 2017

BMO FINANCIAL CORP.

SOLE SHAREHOLDER OF BMO ASSET MANAGEMENT CORP.

yes

09/1989

Mar 30, 2012

Apr 13, 2017

COOPER, BARRY, MERRITT

Director

yes

12/2009

Mar 30, 2012

Apr 13, 2017

ENOCHS, PHILLIP, EDWARD

Director

yes

11/2016

Jan 4, 2017

Apr 13, 2017

Mohammed, Joan, Z

HEAD AND DIRECTOR

yes

06/2016

Jul 28, 2016

Apr 13, 2017

MARCHILDON, LORI, JANE

MANAGING DIRECTOR

03/2006

Mar 30, 2012

Apr 13, 2017

MOONEY, MELISSA, MARY

CHIEF COMPLIANCE OFFICER

01/2015

Jan 9, 2015

Apr 13, 2017

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

F&C MANAGEMENT LIMITED

n/a

Former SEC adviser

$90B

yes

n/a

BMO PRIVATE INVESTMENT COUNSEL INC.

n/a

Bank affiliated wealth

$40B

yes

n/a

TAPLIN, CANIDA & HABACHT, LLC

n/a

Institutional manager

$11B

yes

n/a

CTC MYCFO, LLC

n/a

Bank affiliated wealth

$10.0B

yes

n/a

PYRFORD INTERNATIONAL LTD

n/a

Other adviser

$7.1B

yes

n/a

BMO ASSET MANAGEMENT CORP.

n/a

Other adviser

$6.2B

yes

n/a

BMO HARRIS FINANCIAL ADVISORS, INC

n/a

Former SEC adviser

$5.1B

yes

n/a

STOKER OSTLER WEALTH ADVISORS, INC.

n/a

Bank affiliated wealth

$3.7B

yes

n/a

THAMES RIVER CAPITAL LLP

n/a

Former SEC adviser

$3.1B

yes

n/a

LGM INVESTMENTS LIMITED

n/a

Former SEC adviser

$2.9B

yes

n/a

BMO CAPITAL MARKETS CORP.

n/a

Former SEC adviser

$1.2B

yes

n/a

BMO NESBITT BURNS SECURITIES LTD.

n/a

Bd affiliated wealth

$1.2B

yes

n/a

BMO GLOBAL ASSET MANAGEMENT (ASIA) LIMITED

n/a

Former SEC adviser

$1.0B

yes

n/a

LLOYD GEORGE INVESTMENT MANAGEMENT (BERMUDA) LTD

n/a

Former SEC adviser

$27.0M

yes

n/a

BANK OF MONTREAL

n/a

yes

n/a

BMO ASSET MANAGEMENT INC.

n/a

yes

n/a

BMO CAPITAL MARKETS LIMITED

n/a

yes

n/a

BMO DELAWARE TRUST COMPANY

n/a

yes

n/a

BMO GLOBAL TAX ADVANTAGE FUNDS INC.

n/a

yes

n/a

BMO HARRIS BANK N.A.

n/a

yes

BMO INVESTMENT DISTRIBUTORS, LLC

n/a

yes

n/a

BMO INVESTMENTS INC.

n/a

yes

n/a

BMO MONTHLY DIVIDEND FUND LTD.

n/a

yes

n/a

BMO NESBITT BURNS SECURITIES LTD.

n/a

yes

n/a

BMO NESBITT BURNS, INC.

n/a

yes

n/a

BMO REP ASSET MANAGEMENT PLC

n/a

yes

n/a

BMO TRUST COMPANY (CANADA)

n/a

yes

n/a

F&C ASSET MANAGEMENT PLC

n/a

yes

n/a

F&C ASSET MANAGERS LTD

n/a

yes

n/a

F&C INVESTMENT BUSINESS LIMITED

n/a

yes

n/a

F&C MANAGERS LIMITED

n/a

yes

n/a

GGOF CANADIAN EQUITY FUND LTD.

n/a

yes

n/a

THAMES RIVER MULTI-CAPITAL LLP

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Mar 30, 2017

$1.8B

n/a

2015

Mar 29, 2016

$1.9B

n/a

2014

Mar 26, 2015

$2.2B

n/a

2013

Mar 31, 2014

$2.6B

n/a

2012

Apr 1, 2013

$1.6B

n/a

2011

Mar 30, 2012

$2.1B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

$765M

$1.9B

-58.8%

$2.6B

-33.5%

n/a