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
1••• A•••• M••••••••• U••• I•••
Latest filing Sep 4, 2026
First filing on the tape Jan 31, 2012 · 49 filings
SEC status approved since Jun 14, 2002
RAUM
$1.4B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
48%
$682M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
251
113 advisory (5.B.1)
Offices
37
beyond the principal office
Private funds
0
reported on Schedule D
History
49 filings and snapshots on the tape
RAUM$1.4B as of Aug 20, 2026
Jan 31, 2012$98.9M then
HNW client RAUM$601M as of Aug 20, 2026
Jan 8, 2018$437M then
State-registered IARs (5.B.3)0 as of Aug 20, 2026
Feb 4, 20130 then
Employees (5.A)251 as of Aug 20, 2026
Feb 4, 20138 then
Private funds1 as of Aug 20, 2026
Dec 15, 20251 then
RAUM +81% over the last fiscal year+23% a year over threeIARs 0 to 0offices 11 to 37
Practice profile
derived from the filing of Sep 4, 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
- $4.7MderivedHNW RAUM over HNW clients
- Average account
- $3.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 14%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived38 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.6%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$601M42%
- Investment companies$342M24%
- Pension and profit-sharing plans$196M14%
- Corporations and businesses$181M13%
- Individuals$80.4M5.6%
- Pooled investment vehicles$25.9M1.8%
- Individual clients
- 152reported
- HNW clients
- 127reported
- Pension plan clients
- n/areported
- Charitable clients
- 0reported
- Accounts
- 462reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $756M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.48 fund_share=0.26 institutional_share=0.14 related_bd=true related_bank=true bd_reps=41.0derived
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
- F••••• T•••• W•••••• · Director And Chief Executive Officercontrolsince 06/2017 · owns less than 5%
- P••••••• J••• · Directorcontrolsince 12/2015 · owns less than 5%
- B••••• D•••• R•••• · Chief Compliance Officersince 12/2018 · owns less than 5%
- J•••••• G•••••• · Chief Financial Officer Executive Officersince 02/2017 · owns less than 5%
- P••••••••• N•••••••• T•••••• · Directorsince 05/2023 · owns less than 5%
Entity owners
- 1••• A•••• M••••••••• G••• I••• · General Partnerindirect · owns F of 1••• A•••• M••••••••• L•••
- B•• I••••••••• I••• · L•••••• Partnerindirect · owns 75% or more of 1••• A•••• M••••••••• L•••
- T•• B••• O• N••• S••••• · Ownerindirect · owns 75% or more of 1••• A•••• M••••••••• G••• I•••
- T•• B••• O• N••• S••••• · Ownerindirect · owns 75% or more of B•• I••••••••• I••• · public reporting company
- 1••• A•••• M••••••••• L••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- 1••• A•••• M••••••••• L•••investment adviserbankpooled vehicle sponsory
- J••••••••• F••••• L••investment adviserpooled vehicle sponsornRAUM $38B
- M• F•••••••• M••••••••• I•••investment advisern
- M• M••••••••• L••••••broker-dealerinvestment advisern
- S••••• C•••••• •••• I•••broker-dealern
- S••••• C•••••• I•••broker-dealerinvestment advisertrust companyn
- S••••• S••••••••• I•••broker-dealerinvestment advisern
- S••••• W••••• I•••••••• S••••••• I•••real estaten
- T•••••••• B•••n
- T•••••••• I••••••••• F•••• L•••investment advisern
- T•• B••• O• N••• S•••••y
- T•• B••• O• N••• S••••• T•••• C••••••custodiann
- T•• B••• O• N••• S••••• T•••• C•••••• •••••••• L••••••broker-dealern
- T•• B••• O• N••• S••••• T•••• C•••••• ••••••• L••••••broker-dealern
Advisers that list 1••• A•••• M••••••••• U••• I••• as a related person
Offices
Schedule D 1.F, the 25 largest
- Toronto, Ontario, Canada19 employees
- Oakville, Ontario, Canada5 employees
- London, Ontario, Canada2 employees
- Mississauga, Ontario, Canada2 employees
- Montreal, Quebec, Canada2 employees
- Ottawa, Ontario, Canada2 employees
- Vancouver, British Columbia, Canada2 employees
- Vaughan, On, Canada2 employees
- Calgary, Alberta, Canada2 employees
- Edmonton, Alberta, Canada2 employees
- , 1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Sep 4, 2026F••••• T•••• W•••••• (DIRECTOR AND CHIEF EXECUTIVE OFFICER) left Schedule A between the filings of 2023-05-23 and 2026-09-04peers: independent wealth managers, $1B to $5B (1,362)
- HNW share shiftChange between filings · filing Apr 17, 2025HNW share of RAUM moved from 7.0% to 45.0% between the annual amendments of 2024-01-26 and 2025-04-17peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 0Aug 20, 2026 to Sep 4, 2026
- HQ state · to unsetAug 20, 2026 to Sep 4, 2026
- Private funds · 1 to unsetAug 20, 2026 to Sep 4, 2026
- Succession · false to unsetAug 20, 2026 to Sep 4, 2026
- Accounts · 340 to 462Oct 15, 2025 to Dec 15, 2025
- Advisory employees · 77 to 113Oct 15, 2025 to Dec 15, 2025
- BD registered reps · 27 to 41Oct 15, 2025 to Dec 15, 2025
- Corporate clients · 13 to 15Oct 15, 2025 to Dec 15, 2025
- HNW clients · 85 to 127Oct 15, 2025 to Dec 15, 2025
- Individual clients · 110 to 152Oct 15, 2025 to Dec 15, 2025
- Pension plan clients · 0.0 to unsetOct 15, 2025 to Dec 15, 2025
- Pooled vehicle clients · 0 to 1Oct 15, 2025 to Dec 15, 2025
- Assets in custody · unset to 25896630.0Oct 15, 2025 to Dec 15, 2025
- Employees · 183 to 251Oct 15, 2025 to Dec 15, 2025
- Other offices · 30 to 37Oct 15, 2025 to Dec 15, 2025
- Private funds · unset to 1Oct 15, 2025 to Dec 15, 2025
- Discretionary RAUM · $922M to $1.4BOct 15, 2025 to Dec 15, 2025
- HNW RAUM · $414M to $601MOct 15, 2025 to Dec 15, 2025
- Individual RAUM · $59.7M to $80.4MOct 15, 2025 to Dec 15, 2025
- Pension RAUM · unset to 196126872.0Oct 15, 2025 to Dec 15, 2025
- Pooled vehicle RAUM · $0 to $25.9MOct 15, 2025 to Dec 15, 2025
- RAUM · $922M to $1.4BOct 15, 2025 to Dec 15, 2025
- Wrap assets (manager) · unset to 756488586.0Oct 15, 2025 to Dec 15, 2025
- Wrap assets (sponsor) · unset to 0.0Oct 15, 2025 to Dec 15, 2025
- Advisory employees · 23 to 77May 16, 2025 to Oct 15, 2025
- BD registered reps · 0 to 27May 16, 2025 to Oct 15, 2025
- Employees · 59 to 183May 16, 2025 to Oct 15, 2025
- Financial planning clients · 0 to 0May 16, 2025 to Oct 15, 2025
- Other offices · 13 to 30May 16, 2025 to Oct 15, 2025
- Accounts · 333 to 340Oct 23, 2024 to Jan 28, 2025
- Advisory employees · 22 to 23Oct 23, 2024 to Jan 28, 2025
- Corporate clients · 16 to 13Oct 23, 2024 to Jan 28, 2025
- HNW clients · 107 to 85Oct 23, 2024 to Jan 28, 2025
- Individual clients · 76 to 110Oct 23, 2024 to Jan 28, 2025
- Employees · 43 to 59Oct 23, 2024 to Jan 28, 2025
- HQ state · unset to Oct 23, 2024 to Jan 28, 2025
- Other offices · 11 to 13Oct 23, 2024 to Jan 28, 2025
- Discretionary RAUM · $787M to $922MOct 23, 2024 to Jan 28, 2025
- HNW RAUM · $55.8M to $414MOct 23, 2024 to Jan 28, 2025
- Individual RAUM · $359M to $59.7MOct 23, 2024 to Jan 28, 2025
Signals
5 dated events
- 1••• A•••• M••••••••• U••• I••• reported 37 offices beyond its principal office, up from 30 (2025-10-15 to 2025-12-15)Dec 15, 2025 · Office count change · derived
- 1••• A•••• M••••••••• U••• I••• reported RAUM $1.4B, up 55% from $922.3M (2025-10-15 to 2025-12-15)Dec 15, 2025 · RAUM change · derived
- 1••• A•••• M••••••••• U••• I••• reported 30 offices beyond its principal office, up from 13 (2025-05-16 to 2025-10-15)Oct 15, 2025 · Office count change · derived
- 1••• A•••• M••••••••• U••• I••• reported RAUM $846.0M, up 75% from $484.1M (2019-01-25 to 2019-09-26)Sep 26, 2019 · RAUM change · derived
- 1••• A•••• M••••••••• U••• I••• reported RAUM $558.8M, up 59% from $350.8M (2017-06-27 to 2018-01-08)Jan 8, 2018 · RAUM change · derived
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
- d•••••••••@j••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- q••••@j••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 514-842-2727reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 416-363-7417reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 416-363-8079reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- j••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 416-840-7986reportedpublic record, Form ADV, Sep 4, 2026
- Contact form
- j••••••••.comreportedpublished 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
- Wealth manager with institutional or fund businessderiveda 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