DFX Intelligence

RIA Intelligence

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SEC-registered adviser

A•••• F••••• A•••• M••••••••• U•• I•••

No RAUM reportedToronto, CRD 110888SEC 801-56769IAPD
Latest filing Apr 15, 2026
First filing on the tape Mar 6, 2012 · 18 filings
SEC status approved since Aug 13, 1999
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$0 as of Apr 15, 2026
Mar 6, 2012$4.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 15, 2026
Mar 6, 20120 then
Employees (5.A)3 as of Apr 15, 2026
Apr 1, 20134 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 15, 2026; every figure names its basis
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
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
0reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true 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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • A••••• B••••• G••••• · Presidentcontrol
        since 07/1999 · owns 75% or more
      • B•••••• M•••••• M••••• · Chief Compliance Officer
        since 07/1999 · owns less than 5%
      • S•••••• E•••••• S••••••• · Vice President, Research
        since 07/1999 · owns less than 5%
      Entity owners
      • A•••• F••••• H••••••• I••• · Shareholder
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • A•••• F••••• A•••• M••••••••• I•••
        investment advisern
      • A•••• F••••• I•••
        broker-dealern
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · unset to 0.0
        Mar 15, 2024 to Apr 7, 2025
      • Financial planning clients · 0 to 0
        Mar 15, 2024 to Apr 7, 2025
      • HQ state · unset to
        Mar 15, 2024 to Apr 7, 2025
      • Discretionary RAUM · unset to 0.0
        Mar 15, 2024 to Apr 7, 2025
      • Non-discretionary RAUM · unset to 0.0
        Mar 15, 2024 to Apr 7, 2025
      • RAUM · unset to 0.0
        Mar 15, 2024 to Apr 7, 2025
      • Related adviser · true to false
        Mar 15, 2024 to Apr 7, 2025
      • Other offices · 1 to 0
        May 6, 2019 to Apr 1, 2020
      • Employees · 4 to 3
        Apr 11, 2018 to May 6, 2019
      • Charity clients · unset to 0.0
        Apr 11, 2017 to Oct 16, 2017
      • Corporate clients · unset to 0.0
        Apr 11, 2017 to Oct 16, 2017
      • Pension plan clients · unset to 0.0
        Apr 11, 2017 to Oct 16, 2017
      • Pooled vehicle clients · unset to 0.0
        Apr 11, 2017 to Oct 16, 2017
      • Other offices · unset to 1.0
        Apr 11, 2017 to Oct 16, 2017
      • Accounts · 8.0 to unset
        Mar 6, 2012 to Apr 1, 2013
      • Advisory employees · unset to 2.0
        Mar 6, 2012 to Apr 1, 2013
      • Employees · unset to 4.0
        Mar 6, 2012 to Apr 1, 2013
      • Discretionary RAUM · 4589816.0 to unset
        Mar 6, 2012 to Apr 1, 2013
      • Non-discretionary RAUM · 0.0 to unset
        Mar 6, 2012 to Apr 1, 2013
      • RAUM · 4589816.0 to unset
        Mar 6, 2012 to Apr 1, 2013
      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
      Principal office phone
      416-777-9005reportedpublic record, Form ADV, Apr 15, 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
      No RAUM reportedderiveda 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