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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SEC-registered adviser

D••••• C•••••• U•• I•••

Independent wealth managerQuebec City, Quebec, CRD 119222SEC 801-122016IAPD
Latest filing Dec 15, 2025
First filing on the tape Jul 2, 2021 · 6 filings
SEC status approved since Aug 4, 2021
RAUM
$47.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$47.9M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$47.9M as of Dec 15, 2025
Nov 2, 2021$28.4M then
HNW client RAUM$1.3M as of Dec 15, 2025
Nov 2, 2021$28.4M then
State-registered IARs (5.B.3)0 as of Dec 15, 2025
Nov 2, 20210 then
Employees (5.A)6 as of Dec 15, 2025
Nov 2, 20216 then
Private funds: no history
RAUM +69% over the last fiscal year+19% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Dec 15, 2025; 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
$268,106derivedHNW RAUM over HNW clients
Average account
$4.4MderivedRAUM 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
+27%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 assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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
  • Individuals$46.5M97%
  • High-net-worth individuals$1.3M2.8%
Individual clients
6reported
HNW clients
5reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
11reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=4.0derived
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
      • C•••••••• E••• · Vice-Presidentcontrol
        since 05/2001 · owns less than 5%
      • D•••••• H••••• · President, Cfo, Coo, Ccocontrol
        since 01/2003 · owns less than 5%
      • C•••••••• E••• · Shareholdercontrol
        since 07/2013 · owns 25% to 50% of D••• I••••••••• I•••
      • D•••••• H••••• · Shareholdercontrol
        since 09/2003 · owns 25% to 50% of D••• I••••••••• I•••
      • D•••••• S••••••• · Shareholdercontrol
        since 09/2003 · owns 25% to 50% of D••• I••••••••• I•••
      Entity owners
      • D••• I••••••••• I••• · Shareholder, 100% Owner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • D••••• C•••••• • C• L••
        broker-dealern
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 13 to 11
        Nov 12, 2024 to Dec 15, 2025
      • HNW clients · 13 to 5
        Nov 12, 2024 to Dec 15, 2025
      • Individual clients · unset to 6.0
        Nov 12, 2024 to Dec 15, 2025
      • Financial planning clients · unset to
        Nov 12, 2024 to Dec 15, 2025
      • HQ state · unset to
        Nov 12, 2024 to Dec 15, 2025
      • Discretionary RAUM · $36.0M to $47.9M
        Nov 12, 2024 to Dec 15, 2025
      • HNW RAUM · $36.0M to $1.3M
        Nov 12, 2024 to Dec 15, 2025
      • Individual RAUM · unset to 46547190.0
        Nov 12, 2024 to Dec 15, 2025
      • RAUM · $36.0M to $47.9M
        Nov 12, 2024 to Dec 15, 2025
      • Accounts · 14 to 13
        Nov 28, 2023 to Nov 12, 2024
      • HNW clients · 14 to 13
        Nov 28, 2023 to Nov 12, 2024
      • Discretionary RAUM · $28.3M to $36.0M
        Nov 28, 2023 to Nov 12, 2024
      • HNW RAUM · $28.3M to $36.0M
        Nov 28, 2023 to Nov 12, 2024
      • RAUM · $28.3M to $36.0M
        Nov 28, 2023 to Nov 12, 2024
      • Accounts · 11 to 14
        Dec 13, 2022 to Nov 28, 2023
      • HNW clients · 11 to 14
        Dec 13, 2022 to Nov 28, 2023
      • Discretionary RAUM · $27.0M to $28.3M
        Dec 13, 2022 to Nov 28, 2023
      • HNW RAUM · $27.0M to $28.3M
        Dec 13, 2022 to Nov 28, 2023
      • RAUM · $27.0M to $28.3M
        Dec 13, 2022 to Nov 28, 2023
      • Accounts · 12 to 11
        Nov 2, 2021 to Dec 13, 2022
      • Advisory employees · 3 to 4
        Nov 2, 2021 to Dec 13, 2022
      • BD registered reps · 2 to 4
        Nov 2, 2021 to Dec 13, 2022
      • HNW clients · 12 to 11
        Nov 2, 2021 to Dec 13, 2022
      • Discretionary RAUM · $28.4M to $27.0M
        Nov 2, 2021 to Dec 13, 2022
      • HNW RAUM · $28.4M to $27.0M
        Nov 2, 2021 to Dec 13, 2022
      • RAUM · $28.4M to $27.0M
        Nov 2, 2021 to Dec 13, 2022
      • Discretionary RAUM · $29.1M to $28.4M
        Jul 2, 2021 to Nov 2, 2021
      • HNW RAUM · $29.1M to $28.4M
        Jul 2, 2021 to Nov 2, 2021
      • RAUM · $29.1M to $28.4M
        Jul 2, 2021 to Nov 2, 2021
      Signals
      1 dated events
      • D••••• C•••••• U•• I••• filed its initial SEC registration (Form ADV)
        Jul 2, 2021 · First SEC registration · fact
      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
      418-628-5533reportedpublic record, Form ADV, Dec 15, 2025
      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