DFX Intelligence

RIA Intelligence

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SEC-registered adviser

H•••••••• I••••••••• M••••••••• I•••

Asset manager (funds and pooled vehicles)Toronto, CRD 137883SEC 801-65665website IAPD

Latest filing Aug 19, 2026

First filing on the tape Mar 29, 2012 · 22 filings

SEC status approved since Jan 27, 2006

RAUM

$7.8B

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.3%

$20.8M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

35 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

22 filings and snapshots on the tape

RAUM$7.8B as of Aug 19, 2026

Mar 29, 2012$600M then

HNW client RAUM$17.4M as of Aug 19, 2026

Mar 26, 2018$4.5M then

State-registered IARs (5.B.3)0 as of Aug 19, 2026

Mar 26, 20130 then

Employees (5.A)46 as of Aug 19, 2026

Mar 26, 201317 then

Private funds6 as of Aug 19, 2026

Mar 29, 20126 then

RAUM +74% over the last fiscal year+42% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Aug 19, 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: $280,171derivedHNW RAUM over HNW clients
Average account: $33.8MderivedRAUM 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: unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year: +74%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: +14%derived
Compensation: percentage of assets, performance-basedreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody: $1.6B, 9 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)
an independent public accountant performs a surprise examination (9.C.1)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$6.7B86%
State and municipal entities$921M12%
Pension and profit-sharing plans$130M1.7%
High-net-worth individuals$17.4M0.2%
Corporations and businesses$9.7M0.1%
Individuals$3.4M0.0%

Individual clients: 108reported
HNW clients: 62reported
Pension plan clients: n/areported
Charitable clients: 0reported
Accounts: 230reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $1.6B for 9 clientsreported
Compensation: % of AUM, performancereported
Class basis: private_client_share=0.0 fund_share=0.86 institutional_share=0.14 related_bd=false related_bank=false bd_reps=0.0derived

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 departure Every arrival

Private funds

11 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
H•••••••• G••••• S•••• C•• E••••• F•••	Hedge Fund	$444M	2	Mar 22, 2017
H•••••••• U• S•••• C•• E••••• F•••	Hedge Fund	$199M	1	Mar 29, 2012
H•••••••• C••••••• S•••• C•• E••••• F•••	Hedge Fund	$188M	0	Mar 29, 2012
H•••••••• G••••• E••••• F•••	Hedge Fund	$80.2M	2	Mar 29, 2012
H•••••••• C••••••• M•••• C•• E••••• F•••	Hedge Fund	$19.8M	2	Mar 29, 2019
H•••••••• U• M•••• C•• E••••• F•••	Hedge Fund	$9.7M	1	Mar 27, 2024
H•••••••• C••••••• L•• V••••••••• E••••• F•••	Other Private Fund	$9.2M	1	Mar 29, 2022
H•••••••• G••••• I••••• F•••	Hedge Fund	$7.7M	2	Mar 29, 2012
H•••••••• C••••••• L••••••••• E••••• F•••no longer reported	Hedge Fund	$2.5M	1	Mar 29, 2012
H•••••••• C••••••• C••• E••••• F•••	Hedge Fund	$33,663	0	Mar 29, 2019
H•••••••• C••••••• L••••••••• E••••• F••• L••no longer reported	Hedge Fund	$0	1	Mar 29, 2012

Owners and control persons

Schedule A and B, latest filing

C•••• T••••••• ••••••••• · Co-Chief Investment Officercontrol
since 08/2022 · owns less than 5%
C•••••••• J•••• F•••••••• · Directorcontrol
since 01/1996 · owns less than 5%
G••••••• A•••••• C••••••••• · Chief Executive Officercontrol
since 01/1996 · owns 10% to 25%
M•••••• H••••• S••••• · Executive Vice-Presidentcontrol
since 02/2008 · owns 10% to 25%
R•••••••• K••••• L•••• · Chief Operating Officer, Chief Compliance Officercontrol
since 03/2023 · owns less than 5%
R•••••• I••• D•••• · Senior Vice-President Financecontrol
since 12/2017 · owns less than 5%
S••••••• J•••••••• E•••••• · Directorcontrol
since 11/2021 · owns less than 5%
W•••••• E••• · Directorcontrol
since 01/1996 · owns less than 5%
W•••••• E••• · President And Shareholdercontrol
since 03/2009 · owns 50% to 75% of M•• H••••••• C••••••
W•••••• E••• · President And Shareholdercontrol
since 03/2009 · owns 75% or more of E••••••• H••••••• C••••••

Entity owners

G••••••• H••••••• L•••••• · Shareholder
direct · owns 25% to 50%
W••••• H••••• • F•••••• · Shareholder
direct · owns 10% to 25%
E••••••• H••••••• C•••••• · Shareholder
indirect · owns 50% to 75% of M•• H••••••• C••••••
M•• H••••••• C•••••• · Shareholder
indirect · owns 75% or more of W••••• H••••• • F••••••
N•• B•••••••• P••••• S•••••• P•••••• P••• · Shareholder
indirect · owns 50% to 75% of V•••••• C••••
N•• B•••••••• T••••••• P•••••• P••• · Shareholder
indirect · owns 50% to 75% of V•••••• C••••
V•••••• C•••• · Shareholder
indirect · owns 75% or more of V•••••• I•••
V•••••• I••• · Shareholder
indirect · owns 75% or more of V•••••• I••••••••• G•••••• P••••••• I•••
V•••••• I••••••••• G•••••• P••••••• I••• · G•••••• Partner
indirect · owns F of V•••••• I••••••••• P•••••• E•••••• L•••
V•••••• I••••••••• P•••••• E•••••• L••• · Shareholder
direct · owns 10% to 25%

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

RAUM up 50 %Change between filings · filing Mar 30, 2026
RAUM (Item 5.F) moved from $4,460,003,433 to $7,769,548,706 (+74.0%) between the annual amendments of 2025-03-30 and 2026-03-30; the peer median change was +13.0% (631 comparable advisers, 92.0th percentile of changes)
peers: asset managers, $5B to $20B (631) · 92% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 204 to 230
Mar 30, 2025 to Mar 30, 2026
Advisory employees · 29 to 35
Mar 30, 2025 to Mar 30, 2026
Corporate clients · 17 to 21
Mar 30, 2025 to Mar 30, 2026
HNW clients · 53 to 62
Mar 30, 2025 to Mar 30, 2026
Individual clients · 96 to 108
Mar 30, 2025 to Mar 30, 2026
Pooled vehicle clients · 26 to 25
Mar 30, 2025 to Mar 30, 2026
Assets in custody · $1.1B to $1.6B
Mar 30, 2025 to Mar 30, 2026
Employees · 40 to 46
Mar 30, 2025 to Mar 30, 2026
Private funds · 7 to 6
Mar 30, 2025 to Mar 30, 2026
Discretionary RAUM · $4.5B to $7.8B
Mar 30, 2025 to Mar 30, 2026
HNW RAUM · $7.7M to $17.4M
Mar 30, 2025 to Mar 30, 2026
Individual RAUM · $3.1M to $3.4M
Mar 30, 2025 to Mar 30, 2026
Pension RAUM · $114M to $130M
Mar 30, 2025 to Mar 30, 2026
Pooled vehicle RAUM · $3.8B to $6.7B
Mar 30, 2025 to Mar 30, 2026
RAUM · $4.5B to $7.8B
Mar 30, 2025 to Mar 30, 2026
Accounts · 177 to 204
Mar 27, 2024 to Mar 30, 2025
Advisory employees · 17 to 29
Mar 27, 2024 to Mar 30, 2025
Corporate clients · unset to 17.0
Mar 27, 2024 to Mar 30, 2025
HNW clients · 66 to 53
Mar 27, 2024 to Mar 30, 2025
Individual clients · 84 to 96
Mar 27, 2024 to Mar 30, 2025
Pooled vehicle clients · 21 to 26
Mar 27, 2024 to Mar 30, 2025
Assets in custody · $977M to $1.1B
Mar 27, 2024 to Mar 30, 2025
Employees · 35 to 40
Mar 27, 2024 to Mar 30, 2025
Financial planning clients · unset to
Mar 27, 2024 to Mar 30, 2025
HQ state · unset to
Mar 27, 2024 to Mar 30, 2025
Discretionary RAUM · $2.8B to $4.5B
Mar 27, 2024 to Mar 30, 2025
HNW RAUM · $14.4M to $7.7M
Mar 27, 2024 to Mar 30, 2025
Individual RAUM · $1.8M to $3.1M
Mar 27, 2024 to Mar 30, 2025
Pension RAUM · $103M to $114M
Mar 27, 2024 to Mar 30, 2025
Pooled vehicle RAUM · $2.3B to $3.8B
Mar 27, 2024 to Mar 30, 2025
RAUM · $2.8B to $4.5B
Mar 27, 2024 to Mar 30, 2025
Accounts · 165 to 177
Mar 30, 2023 to Mar 27, 2024
Advisory employees · 16 to 17
Mar 30, 2023 to Mar 27, 2024
HNW clients · 57 to 66
Mar 30, 2023 to Mar 27, 2024
Individual clients · 81 to 84
Mar 30, 2023 to Mar 27, 2024
Assets in custody · $869M to $977M
Mar 30, 2023 to Mar 27, 2024
Employees · 31 to 35
Mar 30, 2023 to Mar 27, 2024
Discretionary RAUM · $2.7B to $2.8B
Mar 30, 2023 to Mar 27, 2024
HNW RAUM · $12.0M to $14.4M
Mar 30, 2023 to Mar 27, 2024
Individual RAUM · $1.2M to $1.8M
Mar 30, 2023 to Mar 27, 2024

Signals

5 dated events

H•••••••• I••••••••• M••••••••• I••• reported RAUM $7.8B, up 74% from $4.5B (2025-03-30 to 2026-03-30)
Mar 30, 2026 · RAUM change · derived
H•••••••• I••••••••• M••••••••• I••• reported RAUM $4.5B, up 60% from $2.8B (2024-03-27 to 2025-03-30)
Mar 30, 2025 · RAUM change · derived
Theodore (Tai-Chun) Chen (Co-Chief Investment Officer) appeared on Schedule A of H•••••••• I••••••••• M••••••••• I•••
Mar 30, 2023 · Control person joined · fact
E•••••• J••••••• S•••••• (Director) appeared on Schedule A of H•••••••• I••••••••• M••••••••• I•••
Mar 29, 2022 · Control person joined · fact
H•••••••• I••••••••• M••••••••• I••• reported RAUM $2.4B, up 40% from $1.7B (2019-03-29 to 2020-03-31)
Mar 31, 2020 · 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

Website: h•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 416-913-3900reportedpublic record, Form ADV, Aug 19, 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: Asset manager (funds and pooled vehicles)deriveda 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