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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

S••••• I••••••••• A•••• M••••••••• U•• L•••

Former SEC-registered adviserToronto, Ontario, CRD 114257SEC 801-49353IAPD
Latest filing Jan 25, 2019
First filing on the tape Nov 23, 2011 · 27 filings
RAUM
$143M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$143M as of Jan 25, 2019
Jan 30, 2012$396M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 25, 2019
Jan 30, 20120 then
Employees (5.A)1 as of Jan 25, 2019
Jan 31, 201325 then
Private funds6 as of Jan 31, 2013
Jan 30, 20126 then
RAUM -3.8% over the last fiscal year-12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 25, 2019; 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
$143MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, 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
-3.8%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
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)
  • 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
  • Investment companies$143M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      6 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      D•••••• G••••• O••••••••• O•••••••• L•••no longer reportedHedge Fund$2.5M1Jan 30, 2012
      D•••••• A•••• P••••••••• O•••••••• L•••no longer reportedHedge Fund$2.5M1Jan 30, 2012
      D•••••• A•••• P••••••••• L•••no longer reportedHedge Fund$00Jan 30, 2012
      D•••••• G••••• O••••••••• M•••••• L•••no longer reportedHedge Fund$00Jan 30, 2012
      D•••••• A•••• P••••••••• M•••••• L•••no longer reportedHedge Fund$00Jan 30, 2012
      D•••••• G••••• O••••••••• L•••no longer reportedHedge Fund$00Jan 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • F••••• T•••• W•••••• · Director And Chief Executive Officercontrol
        since 06/2017 · owns less than 5%
      • P••••••• J••• · Directorcontrol
        since 10/2015 · owns less than 5%
      • B••••• D•••• R•••• · Chief Compliance Officer
        since 12/2018 · owns less than 5%
      • J•••••• G•••••• · Chief Financial Officer
        since 02/2017 · owns less than 5%
      • M••••••••• S•••• · Secretary
        since 10/2015 · owns less than 5%
      Entity owners
      • 1•••••• O•••••• I••• · Shareholder
        direct · owns 75% or more
      • T•• B••• O• N••• S••••• · Shareholder
        indirect · owns 75% or more of 1•••••• O•••••• I••• · public reporting company
      Related persons
      Schedule D 7.A
      • 1••• A•••• M••••••••• L•••
        investment adviserbankn
      • 1••• A•••• M••••••••• U••• I•••
        investment advisernRAUM $1.4B
      • J••••••••• F••••• L••
        investment advisernRAUM $38B
      • S••••• C•••••• •••• I•••
        broker-dealern
      • S••••• C•••••• I•••
        broker-dealerinvestment advisertrust companyn
      • S••••• M•••••• C•••••••• A••••••••• I•••
        pooled vehicle sponsorn
      • S••••• S••••••••• I•••
        broker-dealerinvestment advisern
      • S••••• W••••• I•••••••• S••••••• I•••
        real estaten
      • T•••••••• B•••
        n
      • T•••••••• I••••••••• F•••• L•••
        investment advisern
      • T•••••••• I••••••••• M••••••••• I•••
        investment adviserpooled vehicle sponsorn
      • T•• B••• O• N••• S•••••
        y
      • T•• B••• O• N••• S••••• T•••• C••••••
        n
      Advisers that list S••••• I••••••••• A•••• M••••••••• U•• L••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 5 to 1
        Dec 13, 2018 to Jan 25, 2019
      • Advisory employees · 2 to 1
        Dec 13, 2018 to Jan 25, 2019
      • Advisory activities · 3 to 2
        Dec 13, 2018 to Jan 25, 2019
      • Individual clients · 4.0 to unset
        Dec 13, 2018 to Jan 25, 2019
      • Employees · 2 to 1
        Dec 13, 2018 to Jan 25, 2019
      • Discretionary RAUM · $149M to $143M
        Dec 13, 2018 to Jan 25, 2019
      • Individual RAUM · 1495057.0 to unset
        Dec 13, 2018 to Jan 25, 2019
      • RAUM · $149M to $143M
        Dec 13, 2018 to Jan 25, 2019
      • Accounts · 14 to 5
        Nov 13, 2017 to Jan 11, 2018
      • Advisory employees · 6 to 2
        Nov 13, 2017 to Jan 11, 2018
      • Individual clients · unset to 4.0
        Nov 13, 2017 to Jan 11, 2018
      • Employees · 6 to 2
        Nov 13, 2017 to Jan 11, 2018
      • Discretionary RAUM · $163M to $149M
        Nov 13, 2017 to Jan 11, 2018
      • Individual RAUM · unset to 1495057.0
        Nov 13, 2017 to Jan 11, 2018
      • RAUM · $163M to $149M
        Nov 13, 2017 to Jan 11, 2018
      • Other offices · unset to 0.0
        Jul 5, 2017 to Nov 13, 2017
      • Accounts · 16 to 14
        Mar 30, 2016 to Jan 27, 2017
      • Discretionary RAUM · $210M to $163M
        Mar 30, 2016 to Jan 27, 2017
      • RAUM · $210M to $163M
        Mar 30, 2016 to Jan 27, 2017
      • Advisory employees · 12 to 6
        Jan 29, 2016 to Mar 2, 2016
      • Employees · 12 to 6
        Jan 29, 2016 to Mar 2, 2016
      • Accounts · 21 to 16
        Nov 4, 2015 to Jan 29, 2016
      • Advisory activities · 4 to 3
        Nov 4, 2015 to Jan 29, 2016
      • Discretionary RAUM · $197M to $210M
        Nov 4, 2015 to Jan 29, 2016
      • Non-discretionary RAUM · $5.5M to $0
        Nov 4, 2015 to Jan 29, 2016
      • RAUM · $203M to $210M
        Nov 4, 2015 to Jan 29, 2016
      • Accounts · 20 to 21
        Oct 9, 2014 to Jan 29, 2015
      • Advisory employees · 11 to 12
        Oct 9, 2014 to Jan 29, 2015
      • Employees · 25 to 12
        Oct 9, 2014 to Jan 29, 2015
      • Discretionary RAUM · $217M to $197M
        Oct 9, 2014 to Jan 29, 2015
      • Non-discretionary RAUM · $9.5M to $5.5M
        Oct 9, 2014 to Jan 29, 2015
      • RAUM · $226M to $203M
        Oct 9, 2014 to Jan 29, 2015
      • Accounts · 31 to 20
        Nov 29, 2013 to Jan 29, 2014
      • Business name · G••• U• L••• to S••••• I••••••••• A•••• M••••••••• U•• L•••
        Nov 29, 2013 to Jan 29, 2014
      • Legal name · G••• U• L••• to S••••• I••••••••• A•••• M••••••••• U•• L•••
        Nov 29, 2013 to Jan 29, 2014
      • Private funds · 6 to unset
        Nov 29, 2013 to Jan 29, 2014
      • Discretionary RAUM · $414M to $217M
        Nov 29, 2013 to Jan 29, 2014
      • Non-discretionary RAUM · $8.4M to $9.5M
        Nov 29, 2013 to Jan 29, 2014
      • RAUM · $423M to $226M
        Nov 29, 2013 to Jan 29, 2014
      • Accounts · 24 to 31
        Oct 5, 2012 to Jan 31, 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.
      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