DFX Intelligence
RIA Intelligence
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SEC-registered adviser
C••••• A•••• M••••••••• C•••
Latest filing Mar 18, 2026
First filing on the tape Mar 30, 2012 · 22 filings
SEC status approved since Nov 18, 1997
RAUM
$2.4B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
66%
$1.5B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
44
19 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
7
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$2.4B as of Mar 18, 2026
Jul 31, 2012$740M then
HNW client RAUM$1.0B as of Mar 18, 2026
Mar 27, 2018$464M then
State-registered IARs (5.B.3)0 as of Mar 18, 2026
Jul 30, 20130 then
Employees (5.A)44 as of Mar 18, 2026
Jul 30, 201322 then
Private funds7 as of Mar 18, 2026
Jul 31, 20123 then
RAUM +24% over the last fiscal year+14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 18, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RIA with heavy alternatives · a wealth manager whose private fund gross assets are at least 25 percent of RAUM, or five or more private funds
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $498,935derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.2%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehicles, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.0B44%
- Corporations and businesses$713M30%
- Individuals$498M21%
- Charitable organizations$80.7M3.4%
- Other investment advisers$14.0M0.6%
- Pension and profit-sharing plans$2.9M0.1%
- Individual clients
- 1,461reported
- HNW clients
- 356reported
- Pension plan clients
- n/areported
- Charitable clients
- 24reported
- Accounts
- 4,723reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.66 fund_share=0.01 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
12 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••• I••••• F••• | Other Private Fund | $165M | 1,266 | Jul 28, 2014 |
| C••••• T•• 1••• F••• | Other Private Fund | $104M | 1,255 | Mar 27, 2019 |
| C••••• U••• L•••• C•• E••••• F••• | Other Private Fund | $71.7M | 1,451 | Jul 28, 2017 |
| C••••• C••••••• E••••• F••• | Other Private Fund | $55.5M | 1,182 | Mar 27, 2019 |
| C••••• S•••• C•• F••• | Other Private Fund | $30.7M | 1,369 | Mar 17, 2021 |
| C••••• E••••• F•••no longer reported | Other Private Fund | $28.4M | 712 | Jul 28, 2014 |
| C••••• E••••••• E••••• F••• | Other Private Fund | $24.1M | 1,217 | Mar 27, 2019 |
| C••••• ••••••• T•• B••• F•••no longer reported | Other Private Fund | $21.8M | 760 | Jul 29, 2015 |
| C••••• G••••• M••••••••• F•••no longer reported | Other Private Fund | $15.2M | 636 | Jul 28, 2017 |
| 3•••••• C••••• I••••••••• L•••••• P••••••••• | Other Private Fund | $10.7M | 66 | Mar 30, 2012 |
| C••••• G••••• M••••••••• L•••••• P•••••••••no longer reported | Other Private Fund | $9.9M | 174 | Mar 30, 2012 |
| C••••• G••••• L•••••• P•••••••••no longer reported | Other Private Fund | $6.3M | 187 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C••••• A••••• D• · Chairman And Chief Investment Officercontrolsince 04/2017 · owns 50% to 75%
- G••••••••• J•••••••• · Vice-Presidentcontrolsince 10/2000 · owns 10% to 25%
- G•••••• M••••••• E•••••••• · Ceocontrolsince 03/2017 · owns less than 5%
- K••••••••• W••••••• K•••••• · Presidentcontrolsince 08/1996 · owns 25% to 50%
- K•••• C•• L•• · Chief Operating Officer And Chief Compliance Officersince 02/2021 · owns less than 5%
Related persons
Schedule D 7.A
- 3•••••• C••••• I•••pooled vehicle sponsory
- 3•••••• C••••• I••••••••• L•••••• P•••••••••pooled vehicle sponsory
- C••••• C••••••• E••••• F•••pooled vehicle sponsory
- C••••• E••••••• E••••• F•••pooled vehicle sponsory
- C••••• I••••• F•••pooled vehicle sponsory
- C••••• S•••• C•• F•••pooled vehicle sponsory
- C••••• T•• 1••• F•••pooled vehicle sponsory
- C••••• U••• L•••• C•• E••••• F•••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
- Toronto, Ontario, Canada1 employees
What changed
consecutive filings, newest first
- Accounts · 4,320 to 4,723Mar 25, 2025 to Mar 18, 2026
- Advisory employees · 17 to 19Mar 25, 2025 to Mar 18, 2026
- Charity clients · 18 to 24Mar 25, 2025 to Mar 18, 2026
- Corporate clients · 277 to 283Mar 25, 2025 to Mar 18, 2026
- HNW clients · 346 to 356Mar 25, 2025 to Mar 18, 2026
- Individual clients · 1,333 to 1,461Mar 25, 2025 to Mar 18, 2026
- Employees · 40 to 44Mar 25, 2025 to Mar 18, 2026
- Discretionary RAUM · $1.9B to $2.4BMar 25, 2025 to Mar 18, 2026
- HNW RAUM · $842M to $1.0BMar 25, 2025 to Mar 18, 2026
- Individual RAUM · $383M to $498MMar 25, 2025 to Mar 18, 2026
- Pension RAUM · $753,497 to $2.9MMar 25, 2025 to Mar 18, 2026
- RAUM · $1.9B to $2.4BMar 25, 2025 to Mar 18, 2026
- Accounts · 4,014 to 4,320Mar 18, 2024 to Mar 25, 2025
- Charity clients · 16 to 18Mar 18, 2024 to Mar 25, 2025
- Corporate clients · 271 to 277Mar 18, 2024 to Mar 25, 2025
- HNW clients · 300 to 346Mar 18, 2024 to Mar 25, 2025
- Individual clients · 1,295 to 1,333Mar 18, 2024 to Mar 25, 2025
- Employees · 41 to 40Mar 18, 2024 to Mar 25, 2025
- Financial planning clients · 0 to 0Mar 18, 2024 to Mar 25, 2025
- HQ state · unset to Mar 18, 2024 to Mar 25, 2025
- Discretionary RAUM · $1.8B to $1.9BMar 18, 2024 to Mar 25, 2025
- HNW RAUM · $743M to $842MMar 18, 2024 to Mar 25, 2025
- Individual RAUM · $383M to $383MMar 18, 2024 to Mar 25, 2025
- Pension RAUM · $647,991 to $753,497Mar 18, 2024 to Mar 25, 2025
- RAUM · $1.8B to $1.9BMar 18, 2024 to Mar 25, 2025
- Accounts · 3,751 to 4,014Mar 23, 2023 to Mar 18, 2024
- Advisory employees · 16 to 17Mar 23, 2023 to Mar 18, 2024
- Charity clients · 15 to 16Mar 23, 2023 to Mar 18, 2024
- Corporate clients · 272 to 271Mar 23, 2023 to Mar 18, 2024
- HNW clients · 253 to 300Mar 23, 2023 to Mar 18, 2024
- Individual clients · 1,257 to 1,295Mar 23, 2023 to Mar 18, 2024
- Employees · 39 to 41Mar 23, 2023 to Mar 18, 2024
- Discretionary RAUM · $1.6B to $1.8BMar 23, 2023 to Mar 18, 2024
- HNW RAUM · $609M to $743MMar 23, 2023 to Mar 18, 2024
- Individual RAUM · $366M to $383MMar 23, 2023 to Mar 18, 2024
- Pension RAUM · $20.9M to $647,991Mar 23, 2023 to Mar 18, 2024
- RAUM · $1.6B to $1.8BMar 23, 2023 to Mar 18, 2024
- Accounts · 3,641 to 3,751Jul 28, 2022 to Mar 23, 2023
- Advisory employees · 13 to 16Jul 28, 2022 to Mar 23, 2023
- Charity clients · 19 to 15Jul 28, 2022 to Mar 23, 2023
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 514-842-6110reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 514-842-6123reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 647-699-0700reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/claretdotca/mycompanyreportedpublic record, Form ADV, Sep 21, 2026
- Website
- C•••••.CAreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 514-842-6110reportedpublic record, Form ADV, Mar 18, 2026
- Contact form
- c•••••.careportedpublished by the firm, firm site, Sep 16, 2026
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
- Independent wealth managerderiveda 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