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
O•••• B•••• U•• I••••••••• M••••••••• L••••••
Latest filing Jun 4, 2026
First filing on the tape Nov 18, 2011 · 26 filings
SEC status approved since Aug 20, 2004
RAUM
$175M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
68%
$119M individuals and HNW
Advisors
29
registered through the firm on IAPD
RAUM per advisor
$6.0M
derived; firm RAUM over IAPD count
Employees
30
30 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$175M as of Jun 4, 2026
Jun 7, 2012$53.0M then
HNW client RAUM$72.3M as of Jun 4, 2026
Jun 19, 2018$64.7M then
State-registered IARs (5.B.3)30 as of Jun 4, 2026
Jun 3, 201324 then
Employees (5.A)30 as of Jun 4, 2026
Jun 3, 201327 then
Private funds: no history
RAUM +33% over the last fiscal year+14% a year over threeIARs 37 to 30
Practice profile
derived from the filing of Jun 4, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $5.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 7derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $389,674derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 5.0derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- -11%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- a related person has custody of client cash (9.B.1.a)
- 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
- High-net-worth individuals$72.3M41%
- Corporations and businesses$55.5M32%
- Individuals$46.8M27%
- Individual clients
- 175reported
- HNW clients
- 37reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 448reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.68 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=0.0derived
Advisors registered through the firm
30 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••••••• A•• A••••••Chartered Financial Analyst | Vancouver, British Columbia | Jan 31, 2006 | 29 y | 0 |
| I•• M•••••• R••••••••Chartered Financial Analyst | Vancouver, British Columbia | Feb 3, 2006 | 28 y | 0 |
| R••• G••••• T•••••••Chartered Financial Analyst | Vancouver, British Columbia | Feb 3, 2006 | 26 y | 0 |
| M•••••• S•••• H••••Chartered Financial Analyst | Vancouver, British Columbia | Feb 3, 2006 | 32 y | 0 |
| P•••• R••••• J••••Chartered Financial Analyst | Vancouver, British Columbia | May 9, 2006 | 31 y | 0 |
| C•••••••• R••••• F••••••• | Vancouver, British Columbia | Jun 30, 2006 | 32 y | 0 |
| M••••• L••••• N••••• | Vancouver, British Columbia | Nov 2, 2006 | 30 y | 0 |
| M••••• G•••• B••••• | Vancouver, British Columbia | Nov 27, 2006 | 25 y | 0 |
| D••• J•••• F••••• | Vancouver, British Columbia | Nov 27, 2006 | 34 y | 0 |
| W•••••• P•••••• W••••• | Vancouver, British Columbia | Dec 20, 2006 | 31 y | 0 |
| K•••• E•••••••• T••••••• | Vancouver, British Columbia | Feb 19, 2008 | 34 y | 0 |
| R••• V••••• F••••• | Vancouver, British Columbia | Jul 24, 2008 | 31 y | 0 |
| S••••• A•• A••••••••• | Vancouver, British Columbia | May 15, 2009 | 30 y | 0 |
| P••• H•••••• D•••••••• | Vancouver, British Columbia | Jan 5, 2010 | 22 y | 0 |
| B•••• W•••••• P••••••Chartered Financial Analyst | Vancouver, British Columbia | May 15, 2013 | 13 y | 0 |
| B•••• B•••• R••••••••• | Vancouver, British Columbia | Dec 10, 2013 | 19 y | 0 |
| T••••• P••••••• P•••• | Vancouver, British Columbia | Nov 4, 2014 | 23 y | 0 |
| S••••• D•••••• C••••••• | Vancouver, British Columbia | Jul 31, 2015 | 16 y | 0 |
| J••• L••••• H••••• | Vancouver, British Columbia | Sep 10, 2015 | 33 y | 0 |
| C••••••••• J•••• L•••Chartered Financial Analyst | Vancouver, British Columbia | Nov 7, 2018 | 18 y | 0 |
| M••••• G••••• M•••••Chartered Financial Analyst | Vancouver, British Columbia | Feb 14, 2019 | 18 y | 0 |
| J••• D••••• M••••••••Chartered Financial Analyst | Vancouver, British Columbia | Nov 7, 2019 | 20 y | 0 |
| K•••• A••••• M••Chartered Financial Analyst | Vancouver, British Columbia | Dec 14, 2020 | 19 y | 0 |
| K•• S•••••• D••••Chartered Financial Analyst | Vancouver, British Columbia | Dec 1, 2021 | 20 y | 0 |
| Z••••• L•••• G••••Chartered Financial Analyst | Vancouver, British Columbia | Feb 3, 2022 | 23 y | 0 |
| R••••• W•••••• W•••• | Vancouver, British Columbia | Jan 16, 2023 | 18 y | 0 |
| R•••• M•••••• H•••• | Vancouver, British Columbia | Jul 15, 2024 | 21 y | 0 |
| M•••••• B•••• A•••••••• M••••••••Chartered Financial Analyst | Vancouver, British Columbia | Jan 20, 2025 | 12 y | 0 |
| P•••••• H••• A•••••••Chartered Financial Analyst | Vancouver, British Columbia | Nov 20, 2025 | 13 y | 1 |
| R•••••• K••• M•••••Chartered Financial Analyst | Vancouver, British Columbia | Sep 15, 2026 | 14 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
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
- D•••••••• D••••• A•• · Chief Executive Officercontrolsince 06/2007 · owns less than 5%
- P•••••••• P••••• R• · Chief Operating Officer & Chief Financial Officercontrolsince 06/2004 · owns less than 5%
- S••••••••• M•••• I••• · Director & Chief Compliance Officercontrolsince 06/2017 · owns less than 5%
- S••••• T•••••• F••••••• · Presidentsince 06/2024 · owns less than 5%
Entity owners
- O•••• B•••• L•••••• · Parentdirect · owns 75% or more
Related persons
Schedule D 7.A
- O•••• B•••• F•••••••• S••••••• L••••••real estaten
- O•••• B•••• L••••••broker-dealerinvestment advisercustodiany
Offices
Schedule D 1.F, the 25 largest
- Chilliwack, British Columbia, Canada2 employees
- Kelowna, British Columbia, Canada2 employees
- Courtenay, British Columbia, Canada1 employees
- Langley, Bc, Canada1 employees
- Victoria, British Columbia, Canada1 employees
What changed
consecutive filings, newest first
- Accounts · 422 to 448Jun 25, 2025 to Jun 4, 2026
- Advisory employees · 29 to 30Jun 25, 2025 to Jun 4, 2026
- HNW clients · 30 to 37Jun 25, 2025 to Jun 4, 2026
- Individual clients · 165 to 175Jun 25, 2025 to Jun 4, 2026
- Employees · 29 to 30Jun 25, 2025 to Jun 4, 2026
- State-registered IARs · 29 to 30Jun 25, 2025 to Jun 4, 2026
- Discretionary RAUM · $160M to $175MJun 25, 2025 to Jun 4, 2026
- HNW RAUM · $62.2M to $72.3MJun 25, 2025 to Jun 4, 2026
- Individual RAUM · $45.7M to $46.8MJun 25, 2025 to Jun 4, 2026
- RAUM · $160M to $175MJun 25, 2025 to Jun 4, 2026
- Accounts · 406 to 422Jun 11, 2024 to Jun 25, 2025
- Advisory employees · 33 to 29Jun 11, 2024 to Jun 25, 2025
- Corporate clients · 35 to 43Jun 11, 2024 to Jun 25, 2025
- HNW clients · 23 to 30Jun 11, 2024 to Jun 25, 2025
- Individual clients · 172 to 165Jun 11, 2024 to Jun 25, 2025
- Employees · 33 to 29Jun 11, 2024 to Jun 25, 2025
- Financial planning clients · unset to Jun 11, 2024 to Jun 25, 2025
- HQ state · unset to Jun 11, 2024 to Jun 25, 2025
- State-registered IARs · 33 to 29Jun 11, 2024 to Jun 25, 2025
- Discretionary RAUM · $150M to $160MJun 11, 2024 to Jun 25, 2025
- HNW RAUM · $55.8M to $62.2MJun 11, 2024 to Jun 25, 2025
- Individual RAUM · $60.3M to $45.7MJun 11, 2024 to Jun 25, 2025
- RAUM · $150M to $160MJun 11, 2024 to Jun 25, 2025
- Accounts · 385 to 406Jun 15, 2023 to Jun 11, 2024
- Advisory employees · 37 to 33Jun 15, 2023 to Jun 11, 2024
- Corporate clients · 30 to 35Jun 15, 2023 to Jun 11, 2024
- HNW clients · 21 to 23Jun 15, 2023 to Jun 11, 2024
- Individual clients · 170 to 172Jun 15, 2023 to Jun 11, 2024
- Employees · 37 to 33Jun 15, 2023 to Jun 11, 2024
- State-registered IARs · 37 to 33Jun 15, 2023 to Jun 11, 2024
- Discretionary RAUM · $131M to $150MJun 15, 2023 to Jun 11, 2024
- HNW RAUM · $50.9M to $55.8MJun 15, 2023 to Jun 11, 2024
- Individual RAUM · $48.5M to $60.3MJun 15, 2023 to Jun 11, 2024
- RAUM · $131M to $150MJun 15, 2023 to Jun 11, 2024
- Accounts · 358 to 385Jun 13, 2022 to Jun 8, 2023
- Advisory employees · 36 to 37Jun 13, 2022 to Jun 8, 2023
- Corporate clients · 29 to 30Jun 13, 2022 to Jun 8, 2023
- HNW clients · 34 to 21Jun 13, 2022 to Jun 8, 2023
- Individual clients · 148 to 170Jun 13, 2022 to Jun 8, 2023
- Employees · 36 to 37Jun 13, 2022 to Jun 8, 2023
Signals
1 dated events
- R•••••• K••• M••••• registered as an investment adviser representative at O•••• B•••• U•• I••••••••• M••••••••• L••••••Sep 15, 2026 · Advisor registered · 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
- Website
- O••••B••••USA.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 1-866-636-8222reportedpublic record, Form ADV, Jun 4, 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
- $6.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026