DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

G••••••• C•••••• A••••••• L•

Former SEC-registered adviserToronto Ontario, CRD 109840SEC 801-57262websiteIAPD
Latest filing Mar 26, 2024
First filing on the tape Mar 30, 2012 · 18 filings
SEC status approved since Mar 31, 2000
RAUM
$2.5B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
63%
$1.6B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
46
19 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$2.5B as of Mar 26, 2024
Mar 30, 2012$1.2B then
HNW client RAUM$816M as of Mar 26, 2024
Mar 28, 2018$1.1B then
State-registered IARs (5.B.3)6 as of Mar 26, 2024
Apr 1, 20134 then
Employees (5.A)46 as of Mar 26, 2024
Apr 1, 201325 then
Private funds: no history
RAUM +0.7% over the last fiscal year+0.0% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 26, 2024; every figure names its basis
RAUM per advisor
$409MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
518derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.2MderivedHNW RAUM over HNW clients
Average account
$370,586derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
3.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
7.7derivedItem 5.A over advisors
Advisors per office
2.0derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+0.7%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-1.0%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$816M33%
  • Individuals$735M30%
  • Corporations and businesses$723M29%
  • Other investment advisers$105M4.3%
  • Charitable organizations$53.2M2.2%
  • Pension and profit-sharing plans$19.8M0.8%
  • State and municipal entities$1.7M0.1%
Individual clients
2,744reported
HNW clients
366reported
Pension plan clients
23reported
Charitable clients
17reported
Accounts
6,623reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••••• A•••••• M•••••• · Directorcontrol
        since 02/2012 · owns less than 5%
      • F•••••• P•••••••• M••••• C•••••••• · Chief Compliance Officercontrol
        since 06/2022 · owns less than 5%
      • M••••••••• G••••• · Directorcontrol
        since 02/2006 · owns less than 5%
      • M••••••• F••••••• H•••• · Chief Financial Officercontrol
        since 07/2023 · owns less than 5%
      • M••••••• A••••••• J••••• · Managing Directorcontrol
        since 04/2016 · owns less than 5%
      • T•••••• M••••••• D••• · Director, General C•••••• & Secretarycontrol
        since 06/2022 · owns less than 5%
      Entity owners
      • G••••••• C•••••• A••••••• I••• · General Partner
        direct · owns less than 5%
      • G••••••• P••••••• I••• · L•••••• Partner
        direct · owns 75% or more
      • C•••• T•••• C•••••• · Trustee
        indirect · owns F of T•• C••••••••• 2••• F••••• T••••
      • G••••••• C•••••• G•••• L•••••• · Indirect Owner
        indirect · owns 75% or more of G••••••• P••••••• I•••
      • M•••• I••••••••• L•••••• · Shareholder
        indirect · owns 25% to 50% of G••••••• C•••••• G•••• L••••••
      • T•• C••••••••• 2••• F••••• T•••• · Shareholder
        indirect · owns 75% or more of M•••• I••••••••• L••••••
      Related persons
      Schedule D 7.A
      Advisers that list G••••••• C•••••• A••••••• L• as a related person
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      Toronto Ontario000
      Offices
      Schedule D 1.F, the 25 largest
      • Vancouver, Canada4 employees
      • Calgary, Canada3 employees
      What changed
      consecutive filings, newest first
      • Accounts · 6,703 to 6,623
        Aug 1, 2023 to Mar 26, 2024
      • Advisory employees · 17 to 19
        Aug 1, 2023 to Mar 26, 2024
      • Charity clients · 19 to 17
        Aug 1, 2023 to Mar 26, 2024
      • Corporate clients · 380 to 334
        Aug 1, 2023 to Mar 26, 2024
      • HNW clients · 349 to 366
        Aug 1, 2023 to Mar 26, 2024
      • Individual clients · 2,792 to 2,744
        Aug 1, 2023 to Mar 26, 2024
      • Pension plan clients · 25 to 23
        Aug 1, 2023 to Mar 26, 2024
      • Employees · 49 to 46
        Aug 1, 2023 to Mar 26, 2024
      • Discretionary RAUM · $2.4B to $2.5B
        Aug 1, 2023 to Mar 26, 2024
      • HNW RAUM · $731M to $816M
        Aug 1, 2023 to Mar 26, 2024
      • Individual RAUM · $717M to $735M
        Aug 1, 2023 to Mar 26, 2024
      • Pension RAUM · $51.4M to $19.8M
        Aug 1, 2023 to Mar 26, 2024
      • RAUM · $2.4B to $2.5B
        Aug 1, 2023 to Mar 26, 2024
      • Accounts · 6,554 to 6,703
        Mar 31, 2022 to Mar 30, 2023
      • Advisory employees · 18 to 17
        Mar 31, 2022 to Mar 30, 2023
      • Charity clients · 15 to 19
        Mar 31, 2022 to Mar 30, 2023
      • Corporate clients · 375 to 380
        Mar 31, 2022 to Mar 30, 2023
      • HNW clients · 403 to 349
        Mar 31, 2022 to Mar 30, 2023
      • Individual clients · 2,667 to 2,792
        Mar 31, 2022 to Mar 30, 2023
      • Pension plan clients · 30 to 25
        Mar 31, 2022 to Mar 30, 2023
      • Employees · 44 to 49
        Mar 31, 2022 to Mar 30, 2023
      • Discretionary RAUM · $2.8B to $2.4B
        Mar 31, 2022 to Mar 30, 2023
      • HNW RAUM · $939M to $731M
        Mar 31, 2022 to Mar 30, 2023
      • Individual RAUM · $730M to $717M
        Mar 31, 2022 to Mar 30, 2023
      • Pension RAUM · $62.5M to $51.4M
        Mar 31, 2022 to Mar 30, 2023
      • RAUM · $2.8B to $2.4B
        Mar 31, 2022 to Mar 30, 2023
      • Related broker-dealer · true to false
        Mar 31, 2022 to Mar 30, 2023
      • Accounts · 6,296 to 6,554
        Mar 31, 2021 to Mar 31, 2022
      • Advisory employees · 19 to 18
        Mar 31, 2021 to Mar 31, 2022
      • Corporate clients · 330 to 375
        Mar 31, 2021 to Mar 31, 2022
      • HNW clients · 315 to 403
        Mar 31, 2021 to Mar 31, 2022
      • Individual clients · 2,649 to 2,667
        Mar 31, 2021 to Mar 31, 2022
      • Pension plan clients · 32 to 30
        Mar 31, 2021 to Mar 31, 2022
      • Employees · 39 to 44
        Mar 31, 2021 to Mar 31, 2022
      • Discretionary RAUM · $2.5B to $2.8B
        Mar 31, 2021 to Mar 31, 2022
      • HNW RAUM · $680M to $939M
        Mar 31, 2021 to Mar 31, 2022
      • Individual RAUM · $687M to $730M
        Mar 31, 2021 to Mar 31, 2022
      • Pension RAUM · $61.3M to $62.5M
        Mar 31, 2021 to Mar 31, 2022
      • RAUM · $2.5B to $2.8B
        Mar 31, 2021 to Mar 31, 2022
      • Accounts · 6,116 to 6,296
        Jun 26, 2020 to Mar 31, 2021
      Signals
      10 dated events
      • G••••••• C•••••• A••••••• L• no longer on the SEC adviser roster (last listed 2025-02-03, RAUM $2.5B)
        Mar 6, 2025 · Left the SEC roster · derived
      • T•••••• M•••••• D• N•••• left G••••••• C•••••• A••••••• L• for G••••••• P••••••• I••• (registered 2025-01-23)
        Jan 30, 2025 · a•••••• firm change · fact
      • C••••••• F•••••• R••• left G••••••• C•••••• A••••••• L• for G••••••• P••••••• I••• (registered 2025-01-23)
        Jan 30, 2025 · a•••••• firm change · fact
      • J••• M•••••• B•••• left G••••••• C•••••• A••••••• L• for G••••••• P••••••• I••• (registered 2025-01-23)
        Jan 30, 2025 · a•••••• firm change · fact
      • M••• B••••• left G••••••• C•••••• A••••••• L• for G••••••• P••••••• I••• (registered 2025-01-23)
        Jan 30, 2025 · a•••••• firm change · fact
      • G••••••• C•••••• A••••••• L•'s advisors moved to G••••••• P••••••• I••• (Toronto Ontario): 4 of 4 registered, on the same day
        Jan 30, 2025 · Firm absorbed (people side) · derived
      • Verner Carl Christensen (Director) no longer on Schedule A of G••••••• C•••••• A••••••• L• (listed 2023-08-01, absent 2024-03-26)
        Mar 26, 2024 · Control person left · inference
      • Henry Francis Mercuri (Chief Financial Officer) appeared on Schedule A of G••••••• C•••••• A••••••• L•
        Aug 1, 2023 · Control person joined · fact
      • Donald Yi (Chief Financial Officer) no longer on Schedule A of G••••••• C•••••• A••••••• L• (listed 2023-06-05, absent 2023-08-01)
        Aug 1, 2023 · Control person left · inference
      • Christina Margo Forster Pazienza (Chief Compliance Officer) appeared on Schedule A of G••••••• C•••••• A••••••• L•
        Mar 30, 2023 · Control person joined · fact
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026