DFX Intelligence
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G••••••••• P••• C••••
Independent wealth manager, based in Toronto, Ontario, reporting $42.6M of regulatory assets.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $42.6M
- Advisors
- 0
- Net advisor flow, 12 months
- Not established
- RAUM change, last fiscal year
- +4.4%
- Private clients
- 86% of RAUM, $36.5M
Form ADV
IAPD
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 7
Every filed figure, and the identifiersCRD 117842 · SEC 801-60917 · 33 filingsShowHide
CRD 117842SEC 801-60917First filing on the tape Feb 28, 2012, latest Feb 24, 2026SEC status approved since Feb 8, 2002IAPD
RAUM
$42.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
86%
$36.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
20
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$42.6M as of Feb 24, 2026
Feb 28, 2012$194M then
HNW client RAUM$10.8M as of Feb 24, 2026
Feb 27, 2018$30.8M then
State-registered IARs (5.B.3)0 as of Feb 24, 2026
Feb 27, 20130 then
Employees (5.A)20 as of Feb 24, 2026
Feb 27, 201326 then
Private funds: no history
RAUM +4.4% over the last fiscal year-4.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- 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
- $229,915derivedHNW RAUM over HNW clients
- Average account
- $149,593derivedRAUM 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
- +4.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.1%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, 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)
- 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
- Individuals$25.7M60%
- High-net-worth individuals$10.8M25%
- Pooled investment vehicles$3.2M7.4%
- Corporations and businesses$3.0M7.0%
- Individual clients
- 255reported
- HNW clients
- 47reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 285reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.86 fund_share=0.07 institutional_share=0.0 related_bd=true related_bank=false bd_reps=3.0derived
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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••••• A•••• L••• · Director, Vice-President, General Counselcontrolsince 01/2002 · owns less than 5%
- A•••••••• R••••••• D•• · President, Chief Executive Officer, Directorcontrolsince 09/1999 · owns less than 5%
- R••••• S•••• N•• · Chief Compliance Officercontrolsince 12/2019 · owns less than 5%
- S••••••••• M•••••••• N•• · Chief Financial Officercontrolsince 02/2020 · owns less than 5%
- A•••••••• R••••••• D•• · President, Director, Shareholdercontrolsince 08/1999 · owns 75% or more of 1•••••• O•••••• L••••••
Entity owners
- 1•••••• O•••••• L•••••• · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- G••••••••• I••• I•••broker-dealern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 328 to 285Oct 9, 2025 to Feb 24, 2026
- HNW clients · 54 to 47Oct 9, 2025 to Feb 24, 2026
- Individual clients · 261 to 255Oct 9, 2025 to Feb 24, 2026
- Employees · 18 to 20Oct 9, 2025 to Feb 24, 2026
- Discretionary RAUM · $40.8M to $42.6MOct 9, 2025 to Feb 24, 2026
- HNW RAUM · $11.4M to $10.8MOct 9, 2025 to Feb 24, 2026
- Individual RAUM · $22.5M to $25.7MOct 9, 2025 to Feb 24, 2026
- Non-discretionary RAUM · $55,438 to $60,785Oct 9, 2025 to Feb 24, 2026
- Pooled vehicle RAUM · $3.2M to $3.2MOct 9, 2025 to Feb 24, 2026
- RAUM · $40.8M to $42.6MOct 9, 2025 to Feb 24, 2026
- Accounts · 371 to 328Dec 2, 2024 to Feb 12, 2025
- Corporate clients · 16 to 15Dec 2, 2024 to Feb 12, 2025
- HNW clients · 63 to 54Dec 2, 2024 to Feb 12, 2025
- Individual clients · 274 to 261Dec 2, 2024 to Feb 12, 2025
- Employees · 20 to 18Dec 2, 2024 to Feb 12, 2025
- Financial planning clients · unset to Dec 2, 2024 to Feb 12, 2025
- HQ state · unset to Dec 2, 2024 to Feb 12, 2025
- Discretionary RAUM · $49.2M to $40.8MDec 2, 2024 to Feb 12, 2025
- HNW RAUM · $16.5M to $11.4MDec 2, 2024 to Feb 12, 2025
- Individual RAUM · $24.9M to $22.5MDec 2, 2024 to Feb 12, 2025
- Non-discretionary RAUM · $53,244 to $55,438Dec 2, 2024 to Feb 12, 2025
- Pooled vehicle RAUM · $3.6M to $3.2MDec 2, 2024 to Feb 12, 2025
- RAUM · $49.3M to $40.8MDec 2, 2024 to Feb 12, 2025
- Accounts · 378 to 371Dec 20, 2023 to Feb 9, 2024
- Advisory employees · 10 to 9Dec 20, 2023 to Feb 9, 2024
- BD registered reps · 4 to 3Dec 20, 2023 to Feb 9, 2024
- Corporate clients · 21 to 16Dec 20, 2023 to Feb 9, 2024
- Individual clients · 295 to 274Dec 20, 2023 to Feb 9, 2024
- Employees · 19 to 20Dec 20, 2023 to Feb 9, 2024
- Discretionary RAUM · $48.9M to $49.2MDec 20, 2023 to Feb 9, 2024
- HNW RAUM · $16.1M to $16.5MDec 20, 2023 to Feb 9, 2024
- Individual RAUM · $24.9M to $24.9MDec 20, 2023 to Feb 9, 2024
- Non-discretionary RAUM · $48,714 to $53,244Dec 20, 2023 to Feb 9, 2024
- Pooled vehicle RAUM · $3.6M to $3.6MDec 20, 2023 to Feb 9, 2024
- RAUM · $49.0M to $49.3MDec 20, 2023 to Feb 9, 2024
- Accounts · 416 to 378Feb 11, 2022 to Feb 13, 2023
- Advisory employees · 12 to 10Feb 11, 2022 to Feb 13, 2023
- Advisory activities · 3 to 4Feb 11, 2022 to Feb 13, 2023
- Corporate clients · 23 to 21Feb 11, 2022 to Feb 13, 2023
- HNW clients · 81 to 63Feb 11, 2022 to Feb 13, 2023
Signals
4 dated events
- ••• LockedDec 15, 2023 · Control person left · inference
- ••• LockedFeb 24, 2021 · Control person joined · fact
- ••• LockedFeb 25, 2020 · Control person joined · fact
- ••• LockedFeb 25, 2020 · Control person left · inference
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 email
- ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Feb 24, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Feb 24, 2026
- Contact form
- ••• Lockedreportedpublished by the firm, firm site, Sep 17, 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