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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Former SEC-registered adviser

H••••••• I•••

Former SEC-registered adviserMontreal, Province Quebec, CRD 131799SEC 801-63376IAPD
Latest filing Mar 30, 2021
First filing on the tape Nov 28, 2011 · 20 filings
RAUM
$6.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.7%
$43.7M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
41
14 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$162M gross assets
History
20 filings and snapshots on the tape
RAUM$6.2B as of Mar 30, 2021
Mar 30, 2012$9.3B then
HNW client RAUM$2.7M as of Mar 30, 2021
Mar 27, 2018$330M then
State-registered IARs (5.B.3)0 as of Mar 30, 2021
Apr 1, 20130 then
Employees (5.A)41 as of Mar 30, 2021
Apr 1, 201342 then
Private funds2 as of Mar 30, 2021
Mar 30, 20123 then
RAUM -69% over the last fiscal year-38% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2021; 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
$82.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
55%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
-69%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
Custody
$162M, 2 clientsreportedItem 9.A
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$2.6B42%
  • Sovereign wealth funds$1.2B19%
  • Pension and profit-sharing plans$999M16%
  • State and municipal entities$715M12%
  • Insurance companies$523M8.5%
  • Investment companies$58.7M1.0%
  • Charitable organizations$45.4M0.7%
  • Individuals$41.0M0.7%
  • High-net-worth individuals$2.7M0.0%
Individual clients
17reported
HNW clients
n/areported
Pension plan clients
19reported
Charitable clients
n/areported
Accounts
76reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$162M for 2 clientsreported
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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      H••••••• W•••• E••••• F•••Other Private Fund$948M31Mar 30, 2012
      H••••••• E••• E••••• F•••Other Private Fund$105M3Mar 30, 2012
      H••••••• A••• E••••• F•••Other Private Fund$56.7M2Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• J••• F••••••• · Executive Vice Presidentcontrol
        since 12/2019 · owns less than 5%
      • B•••••••• R••••• · Directorcontrol
        since 04/2004 · owns less than 5%
      • G••••• C•••••• · Chief Operations Officercontrol
        since 01/2019 · owns less than 5%
      • L•••••• M••••• · Chief Compliance Officer & Chief Legal Officercontrol
        since 08/2007 · owns less than 5%
      • L•••••• M••• C••••••••• · President & Directorcontrol
        since 04/2004 · owns less than 5%
      • P•••••• V•••• · Directorcontrol
        since 04/2004 · owns 25% to 50%
      • R•••••• D•••• · Directorcontrol
        since 04/2004 · owns less than 5%
      • P•••••• V•••• · Shareholdercontrol
        since 08/2020 · owns 75% or more of G•••••• V•••• P••••• I•••
      Entity owners
      • 9•••••••• Q••••• I••• · Shareholder
        direct · owns 75% or more
      • G•••••• J•••• · Shareholder
        indirect · owns 50% to 75% of 9•••••••• Q••••• I•••
      • G•••••• V•••• P••••• I••• · Shareholder
        indirect · owns 75% or more of G•••••• J••••
      Related persons
      Schedule D 7.A
      No related person reported.
      Advisers that list H••••••• I••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 197 to 76
        Jul 1, 2020 to Mar 30, 2021
      • Advisory activities · 4 to 2
        Jul 1, 2020 to Mar 30, 2021
      • Charity clients · 6.0 to unset
        Jul 1, 2020 to Mar 30, 2021
      • Corporate clients · 0.0 to unset
        Jul 1, 2020 to Mar 30, 2021
      • HNW clients · 31.0 to unset
        Jul 1, 2020 to Mar 30, 2021
      • Individual clients · 16 to 17
        Jul 1, 2020 to Mar 30, 2021
      • Pension plan clients · 44 to 19
        Jul 1, 2020 to Mar 30, 2021
      • Pooled vehicle clients · 22 to 12
        Jul 1, 2020 to Mar 30, 2021
      • Assets in custody · $1.2B to $162M
        Jul 1, 2020 to Mar 30, 2021
      • Employees · 48 to 41
        Jul 1, 2020 to Mar 30, 2021
      • Private funds · 3 to 2
        Jul 1, 2020 to Mar 30, 2021
      • Discretionary RAUM · $20B to $6.2B
        Jul 1, 2020 to Mar 30, 2021
      • HNW RAUM · $327M to $2.7M
        Jul 1, 2020 to Mar 30, 2021
      • Individual RAUM · $35.2M to $41.0M
        Jul 1, 2020 to Mar 30, 2021
      • Non-discretionary RAUM · $1.3M to $831,676
        Jul 1, 2020 to Mar 30, 2021
      • Pension RAUM · $3.8B to $999M
        Jul 1, 2020 to Mar 30, 2021
      • Pooled vehicle RAUM · $10B to $2.6B
        Jul 1, 2020 to Mar 30, 2021
      • RAUM · $20B to $6.2B
        Jul 1, 2020 to Mar 30, 2021
      • Related adviser · true to false
        Jul 1, 2020 to Mar 30, 2021
      • Related bank · true to false
        Jul 1, 2020 to Mar 30, 2021
      • Related broker-dealer · true to false
        Jul 1, 2020 to Mar 30, 2021
      • Assets in custody · unset to 1175581306.0
        Apr 28, 2020 to Jul 1, 2020
      • Custody of client assets · false to true
        Apr 28, 2020 to Jul 1, 2020
      • Accounts · 225 to 197
        Mar 29, 2019 to Mar 25, 2020
      • Advisory employees · 15 to 14
        Mar 29, 2019 to Mar 25, 2020
      • Corporate clients · 2 to 0
        Mar 29, 2019 to Mar 25, 2020
      • HNW clients · 29 to 31
        Mar 29, 2019 to Mar 25, 2020
      • Individual clients · 14 to 16
        Mar 29, 2019 to Mar 25, 2020
      • Pension plan clients · 55 to 44
        Mar 29, 2019 to Mar 25, 2020
      • Pooled vehicle clients · 24 to 22
        Mar 29, 2019 to Mar 25, 2020
      • Employees · 46 to 48
        Mar 29, 2019 to Mar 25, 2020
      • Discretionary RAUM · $19B to $20B
        Mar 29, 2019 to Mar 25, 2020
      • HNW RAUM · $281M to $327M
        Mar 29, 2019 to Mar 25, 2020
      • Individual RAUM · $21.6M to $35.2M
        Mar 29, 2019 to Mar 25, 2020
      • Non-discretionary RAUM · $1.1M to $1.3M
        Mar 29, 2019 to Mar 25, 2020
      • Pension RAUM · $4.2B to $3.8B
        Mar 29, 2019 to Mar 25, 2020
      • Pooled vehicle RAUM · $10B to $10B
        Mar 29, 2019 to Mar 25, 2020
      • RAUM · $19B to $20B
        Mar 29, 2019 to Mar 25, 2020
      • Accounts · 252 to 225
        Mar 27, 2018 to Mar 29, 2019
      • Advisory employees · 14 to 15
        Mar 27, 2018 to Mar 29, 2019
      Signals
      40 dated events
      • H••••••• I••• reported RAUM $6.2B, down 69% from $20.4B (2020-07-01 to 2021-03-30)
        Mar 30, 2021 · RAUM change · derived
      • Ewart T••••• Faust (Trustee) no longer on Schedule A of H••••••• I••• (listed 2020-07-01, absent 2021-03-30)
        Mar 30, 2021 · Control person left · inference
      • James Edward Perkin (Trustee) no longer on Schedule A of H••••••• I••• (listed 2020-07-01, absent 2021-03-30)
        Mar 30, 2021 · Control person left · inference
      • Frederick Payson Swaffield (Trustee) no longer on Schedule A of H••••••• I••• (listed 2020-07-01, absent 2021-03-30)
        Mar 30, 2021 · Control person left · inference
      • Jane Cynthia Clemson (Trustee) no longer on Schedule A of H••••••• I••• (listed 2020-07-01, absent 2021-03-30)
        Mar 30, 2021 · Control person left · inference
      • Joseph Matthew Witkos (Trustee) no longer on Schedule A of H••••••• I••• (listed 2020-07-01, absent 2021-03-30)
        Mar 30, 2021 · Control person left · inference
      • Ann Maureen Gemma (Trustee) no longer on Schedule A of H••••••• I••• (listed 2020-07-01, absent 2021-03-30)
        Mar 30, 2021 · Control person left · inference
      • Stewart Frederick Marius (Trustee) no longer on Schedule A of H••••••• I••• (listed 2020-07-01, absent 2021-03-30)
        Mar 30, 2021 · Control person left · inference
      • Dean Brian Langstraat (Trustee) no longer on Schedule A of H••••••• I••• (listed 2020-07-01, absent 2021-03-30)
        Mar 30, 2021 · Control person left · inference
      • Connor David Mccabe (Trustee) no longer on Schedule A of H••••••• I••• (listed 2020-07-01, absent 2021-03-30)
        Mar 30, 2021 · Control person left · inference
      • Greenwald Laurie Hylton (Trustee) no longer on Schedule A of H••••••• I••• (listed 2020-07-01, absent 2021-03-30)
        Mar 30, 2021 · Control person left · inference
      • Carl Daniel Cataldo (Trustee) no longer on Schedule A of H••••••• I••• (listed 2020-07-01, absent 2021-03-30)
        Mar 30, 2021 · Control person left · inference
      • Hamilton James Evans (Trustee) no longer on Schedule A of H••••••• I••• (listed 2020-07-01, absent 2021-03-30)
        Mar 30, 2021 · Control person left · inference
      • Bass C•••••• Reed (Trustee) no longer on Schedule A of H••••••• I••• (listed 2020-07-01, absent 2021-03-30)
        Mar 30, 2021 · Control person left · inference
      • Kelly Ray Williams (Trustee) no longer on Schedule A of H••••••• I••• (listed 2020-07-01, absent 2021-03-30)
        Mar 30, 2021 · Control person left · inference
      • Philip C•••• Russ (Trustee) no longer on Schedule A of H••••••• I••• (listed 2020-07-01, absent 2021-03-30)
        Mar 30, 2021 · Control person left · inference
      • Lawrence John Shea (Trustee) no longer on Schedule A of H••••••• I••• (listed 2020-07-01, absent 2021-03-30)
        Mar 30, 2021 · Control person left · inference
      • R•••••• L•••• P••••••••• (Trustee) no longer on Schedule A of H••••••• I••• (listed 2020-07-01, absent 2021-03-30)
        Mar 30, 2021 · Control person left · inference
      • A••••• M•••••• C••••• (Trustee) no longer on Schedule A of H••••••• I••• (listed 2020-07-01, absent 2021-03-30)
        Mar 30, 2021 · Control person left · inference
      • R••••• C•••• B•••••• (Trustee) no longer on Schedule A of H••••••• I••• (listed 2020-07-01, absent 2021-03-30)
        Mar 30, 2021 · Control person left · inference
      • A Eric Stein (Trustee) no longer on Schedule A of H••••••• I••• (listed 2020-07-01, absent 2021-03-30)
        Mar 30, 2021 · Control person left · inference
      • T••••• Lee (Trustee) no longer on Schedule A of H••••••• I••• (listed 2020-07-01, absent 2021-03-30)
        Mar 30, 2021 · Control person left · inference
      • Henry John Streur (Trustee) no longer on Schedule A of H••••••• I••• (listed 2020-07-01, absent 2021-03-30)
        Mar 30, 2021 · Control person left · inference
      • C••• Lin T••••• S••• (Trustee) no longer on Schedule A of H••••••• I••• (listed 2020-07-01, absent 2021-03-30)
        Mar 30, 2021 · Control person left · inference
      • Nils A••••• Sveen (Trustee) no longer on Schedule A of H••••••• I••• (listed 2020-07-01, absent 2021-03-30)
        Mar 30, 2021 · Control person left · inference
      • P••• B•••••• (Trustee) no longer on Schedule A of H••••••• I••• (listed 2020-07-01, absent 2021-03-30)
        Mar 30, 2021 · Control person left · inference
      • Hammond Scott Page (Trustee) no longer on Schedule A of H••••••• I••• (listed 2020-04-28, absent 2020-07-01)
        Jul 1, 2020 · Control person left · inference
      • V•••••• D•••••• (Co-Chief Investment Officer) no longer on Schedule A of H••••••• I••• (listed 2020-03-25, absent 2020-04-28)
        Apr 28, 2020 · Control person left · inference
      • William M•••••• Weilheimer (Trustee) no longer on Schedule A of H••••••• I••• (listed 2019-03-29, absent 2020-03-25)
        Mar 25, 2020 · Control person left · inference
      • J••• F••••••• B••••• (Executive Vice President) appeared on Schedule A of H••••••• I•••
        Mar 25, 2020 · Control person joined · fact
      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