DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 10b 100b

N••••• W••••• M••••••••• L•••

CRD 173201

VANCOUVER

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Search this name across graphsid dfx:ria:dddd83c7-685b-90ac-f5a4-430e7335c5ed

Data as of Sep 9, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:25 PM UTC and rebuilt at most every 15 minutes.

Relationships: 39
Dated events: 4
On other graphs: 2
Observed: Jul 16, 2020 to Sep 9, 2026
35 observations

Across DFX

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

Private Creditidentity

N••••• W••••• M••••••••• L•••

Private credit manager · shared crd

Real Estate Fundsidentity

N••••• W••••• M••••••••• L•••

Real estate fund manager · shared crd

Facts

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

Firm class: independent wealth managerderivedprivate_client_share=0.92 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $11B••• Locked
Discretionary RAUM: $11B
Private client RAUM: $10Bderived••• Locked
Private client share: 92%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $2.2Bderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
H••• K••• T••• L••	Chartered Financial Analyst	Vancouver	5	11	n/a	no
J••• M•••••• N•••••	n/a	Vancouver	5	20

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
N••••• C••• P•••••••• F•••	Other Private Fund	$733M	Sep 28, 2021	5,800	Jul 16, 2020	dropped	n/a
N••••• B••••••• M••••••• F•••	Other Private Fund	$457M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••••• A••••••	CHIEF OPERATING OFFICER	Na	yes	10/2025	Sep 9, 2026	Sep 9, 2026
D•••••• J••••• S••••	D•••••OR	Na	yes	12/2006	Sep 9, 2026	Sep 9, 2026

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
1•••••• B••• L•••	n/a	n/a	n/a	Y	no	n/a
L••••• F•••••••• G••••	n/a	n/a	n/a	Y	yes	n/a
N••••• B•••••••• R••••• A•••••••	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Toronto	n/a	Canada	19	no
Kelowna	n/a	Canada	5	no
Victoria	n/a	Canada	3	no
CALGARY, AB	n/a	Canada	2	no
Vancouver	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

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	$11B	$10B	9.9%	$8.1B	10.7%	531	491	6	6

Relationships

Registered with (5)

← E•••• A••••• A••••••Advisorregistration: current employment
Apr 26, 2024 to presentfactForm ADV
← J••• M•••••• N•••••Advisorregistration: current employment
Jan 13, 2021 to presentfactForm ADV
← S•••• A•••• S••••••• P••••Advisorregistration: current employment
Jan 13, 2021 to presentfactForm ADV
← B•••••• C•••••

Dated events

Occurred
Mar 21, 2024
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Jun 14, 2023
Control person joined
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 30, 2022
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$1.8B
Occurred
Jul 16, 2020
First Form ADV filing

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:dddd83c7-685b-90ac-f5a4-430e7335c5ed
First observed: Jul 16, 2020
Last observed: Sep 9, 2026 13 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.