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.

Former SEC-registered adviser

Monegy, Inc.

Former SEC-registered adviserToronto, Ontrario, CRD 128504SEC 801-62435IAPD
Latest filing Apr 13, 2017
First filing on the tape Mar 30, 2012 · 22 filings
RAUM
$765M
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
11
7 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$1.8B as of Mar 30, 2017
Mar 30, 2012$2.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2017
Mar 30, 20120 then
Employees (5.A)11 as of Mar 30, 2017
Apr 1, 201313 then
Private funds: no history
RAUM -59% over the last fiscal year-33% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 13, 2017; 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
$85.0MderivedRAUM 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
-5.2%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
  • 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)
  • a related person has custody of client securities (9.B.1.b)
  • a related person acts as qualified custodian (9.D.2)
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
n/areported
Charitable clients
n/areported
Accounts
9reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Nelson Avila · Chief Financial Officercontrol
        since 07/2016 · owns less than 5%
      • Merritt Barry Cooper · Directorcontrol
        since 12/2009 · owns less than 5%
      • Edward Phillip Enochs · Directorcontrol
        since 11/2016 · owns less than 5%
      • Z Joan Mohammed · Head And Directorcontrol
        since 06/2016 · owns less than 5%
      • Jane Lori Marchildon · Managing Director
        since 03/2006 · owns less than 5%
      • Mary Melissa Mooney · Chief Compliance Officer
        since 01/2015 · owns less than 5%
      Entity owners
      • Bmo Asset Management U.S. · Sole Shareholder Of Monegy, Inc
        direct · owns 75% or more
      • Bank Of Montreal · Sole Shareholder Of Bmo Financial Corp.
        indirect · owns 75% or more of Bmo Financial Corp. · public reporting company
      • Bmo Financial Corp. · Sole Shareholder Of Bmo Asset Management Corp.
        indirect · owns 75% or more of Bmo Asset Management Corp.
      Related persons
      Schedule D 7.A
      Advisers that list Monegy, Inc. as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 14 to 9
        Mar 30, 2017 to Apr 13, 2017
      • Advisory activities · 3 to 2
        Mar 30, 2017 to Apr 13, 2017
      • Discretionary RAUM · $1.8B to $765M
        Mar 30, 2017 to Apr 13, 2017
      • RAUM · $1.8B to $765M
        Mar 30, 2017 to Apr 13, 2017
      • Accounts · 20 to 14
        Jan 4, 2017 to Mar 30, 2017
      • Employees · 12 to 11
        Jan 4, 2017 to Mar 30, 2017
      • Discretionary RAUM · $1.9B to $1.8B
        Jan 4, 2017 to Mar 30, 2017
      • RAUM · $1.9B to $1.8B
        Jan 4, 2017 to Mar 30, 2017
      • Accounts · 16 to 20
        Sep 10, 2015 to Mar 29, 2016
      • Discretionary RAUM · $2.2B to $1.9B
        Sep 10, 2015 to Mar 29, 2016
      • RAUM · $2.2B to $1.9B
        Sep 10, 2015 to Mar 29, 2016
      • Advisory employees · 8 to 7
        Mar 26, 2015 to Sep 10, 2015
      • Accounts · 12 to 16
        Jan 9, 2015 to Mar 26, 2015
      • Advisory employees · 7 to 8
        Jan 9, 2015 to Mar 26, 2015
      • Assets in custody · 104184364.0 to unset
        Jan 9, 2015 to Mar 26, 2015
      • Employees · 11 to 12
        Jan 9, 2015 to Mar 26, 2015
      • Discretionary RAUM · $2.6B to $2.2B
        Jan 9, 2015 to Mar 26, 2015
      • RAUM · $2.6B to $2.2B
        Jan 9, 2015 to Mar 26, 2015
      • Advisory employees · 8 to 7
        Mar 25, 2014 to Mar 31, 2014
      • Assets in custody · $52.0M to $104M
        Mar 25, 2014 to Mar 31, 2014
      • Employees · 13 to 11
        Mar 25, 2014 to Mar 31, 2014
      • Discretionary RAUM · $2.5B to $2.6B
        Mar 25, 2014 to Mar 31, 2014
      • RAUM · $2.5B to $2.6B
        Mar 25, 2014 to Mar 31, 2014
      • Discretionary RAUM · $1.6B to $2.5B
        Apr 1, 2013 to Jun 14, 2013
      • RAUM · $1.6B to $2.5B
        Apr 1, 2013 to Jun 14, 2013
      • Business name · HIM MONEGY, INC. to MONEGY, INC.
        Dec 21, 2012 to Apr 1, 2013
      • Assets in custody · $19.9M to $52.0M
        Dec 21, 2012 to Apr 1, 2013
      • Discretionary RAUM · $2.1B to $1.6B
        Dec 21, 2012 to Apr 1, 2013
      • RAUM · $2.1B to $1.6B
        Dec 21, 2012 to Apr 1, 2013
      • Advisory employees · unset to 8.0
        Aug 23, 2012 to Dec 21, 2012
      • Employees · unset to 13.0
        Aug 23, 2012 to Dec 21, 2012
      • Legal name · HIM MONEGY, INC. to MONEGY, INC.
        Aug 23, 2012 to Dec 21, 2012
      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