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
C•••••• C•••••• M••••••••• U• L••••••
Latest filing Feb 27, 2026
First filing on the tape Feb 28, 2012 · 28 filings
SEC status approved since Apr 6, 2006
RAUM
$106M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$106M 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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$106M as of Feb 27, 2026
Feb 28, 2013$57.6M then
HNW client RAUM$102M as of Feb 27, 2026
Feb 28, 2018$48.0M then
State-registered IARs (5.B.3)0 as of Feb 27, 2026
Feb 28, 20130 then
Employees (5.A)11 as of Feb 27, 2026
Feb 28, 201310 then
Private funds: no history
RAUM +12% over the last fiscal year+6.1% a year over threeIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Feb 27, 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
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $1.8MderivedRAUM 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
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -9.3%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$102M96%
- Individuals$4.2M4.0%
- Individual clients
- 14reported
- HNW clients
- 35reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 58reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true 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
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•• M••••• L•••••• P•••••••••no longer reported | Other Private Fund | $4.0M | 1 | Feb 27, 2012 |
| G••••• S••••••• M••••• L•no longer reported | Other Private Fund | $3.6M | 1 | Feb 27, 2012 |
| M••••••••• L•••••• P••••••••• I•no longer reported | Other Private Fund | $1.0M | 1 | Feb 27, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A••••••••• B••••• K•••• · Managing Director & Chief Financial Officercontrolsince 10/2020 · owns less than 5%
- D•••• T•••••• A••••• · Managing Director & Presidentcontrolsince 10/2020 · owns less than 5%
- G•••••••• B••••• C•••••• · Director & Chairmancontrolsince 02/2011 · owns less than 5%
- G•••••••• J•••••• G••• · Directorcontrolsince 02/2011 · owns less than 5%
- W•••• J•••••••• A•• · Chief Compliance Officercontrolsince 06/2022 · owns less than 5%
- G•••••••• B••••• C•••••• · Direct Ownercontrolsince 04/2008 · owns 75% or more of B•• H•••••• C•••••••••
- A••••• M•••• W•••••• · Secretarysince 09/2015 · owns less than 5%
Entity owners
- C•••••• C•••••• M••••••••• L•••••• · Parent Companydirect · owns 75% or more
- A•• I••••••••• I••• · Shareholderindirect · owns 75% or more of C•••••• C•••••• M••••••••• L••••••
- A•• M••••••••• L•••••• · Direct Ownerindirect · owns 75% or more of A•• I••••••••• I•••
- B•• H•••••• C••••••••• · Shareholderindirect · owns 50% to 75% of G••••••• C•••••• C•••••••••
- G••••••• C•••••• C••••••••• · Shareholderindirect · owns 75% or more of A•• M••••••••• L••••••
Related persons
Schedule D 7.A
- A•• I••••••••• A••••••• C•••••• L••••••investment advisern
- A•• I•••••••••investment advisernRAUM $21.6M
- A•• I••••••••• I•••investment advisern
- A•• I•••••••••investment advisernRAUM $4.9B
- A•••••• A•••• M••••••••• I•••investment advisern
- C•••••• C•••••• M••••••••• L••••••investment advisery
- D•••••• • A••••••••• L•••investment advisern
- H••••••••• A•••• M••••••••• I•••investment advisern
Advisers that list C•••••• C•••••• M••••••••• U• L•••••• as a related person
Offices
Schedule D 1.F, the 25 largest
- Vancouver, British Columbia, Canada8 employees
What changed
consecutive filings, newest first
- Accounts · 65 to 58Nov 28, 2025 to Feb 27, 2026
- Advisory employees · 8 to 7Nov 28, 2025 to Feb 27, 2026
- Corporate clients · 1.0 to unsetNov 28, 2025 to Feb 27, 2026
- HNW clients · 40 to 35Nov 28, 2025 to Feb 27, 2026
- Other offices · 1 to 0Nov 28, 2025 to Feb 27, 2026
- Discretionary RAUM · $94.7M to $106MNov 28, 2025 to Feb 27, 2026
- HNW RAUM · $91.2M to $102MNov 28, 2025 to Feb 27, 2026
- Individual RAUM · $2.8M to $4.2MNov 28, 2025 to Feb 27, 2026
- RAUM · $94.7M to $106MNov 28, 2025 to Feb 27, 2026
- Financial planning clients · 0 to 0Feb 14, 2025 to Nov 28, 2025
- Accounts · 67 to 65Feb 12, 2024 to Feb 14, 2025
- HNW clients · 43 to 40Feb 12, 2024 to Feb 14, 2025
- Individual clients · 12 to 14Feb 12, 2024 to Feb 14, 2025
- HQ state · unset to Feb 12, 2024 to Feb 14, 2025
- Discretionary RAUM · $79.5M to $94.7MFeb 12, 2024 to Feb 14, 2025
- HNW RAUM · $76.3M to $91.2MFeb 12, 2024 to Feb 14, 2025
- Individual RAUM · $2.0M to $2.8MFeb 12, 2024 to Feb 14, 2025
- RAUM · $79.5M to $94.7MFeb 12, 2024 to Feb 14, 2025
- Accounts · 68 to 67Feb 7, 2023 to Feb 12, 2024
- Advisory employees · 9 to 8Feb 7, 2023 to Feb 12, 2024
- HNW clients · 47 to 43Feb 7, 2023 to Feb 12, 2024
- Individual clients · 11 to 12Feb 7, 2023 to Feb 12, 2024
- Discretionary RAUM · $89.0M to $79.5MFeb 7, 2023 to Feb 12, 2024
- HNW RAUM · $85.8M to $76.3MFeb 7, 2023 to Feb 12, 2024
- Individual RAUM · $2.0M to $2.0MFeb 7, 2023 to Feb 12, 2024
- RAUM · $89.0M to $79.5MFeb 7, 2023 to Feb 12, 2024
- Accounts · 77 to 68Jul 4, 2022 to Feb 7, 2023
- Advisory employees · 10 to 9Jul 4, 2022 to Feb 7, 2023
- HNW clients · 50 to 47Jul 4, 2022 to Feb 7, 2023
- Individual clients · 12 to 11Jul 4, 2022 to Feb 7, 2023
- Discretionary RAUM · $87.7M to $89.0MJul 4, 2022 to Feb 7, 2023
- HNW RAUM · $83.7M to $85.8MJul 4, 2022 to Feb 7, 2023
- Individual RAUM · $2.7M to $2.0MJul 4, 2022 to Feb 7, 2023
- RAUM · $87.7M to $89.0MJul 4, 2022 to Feb 7, 2023
- Accounts · 75 to 77Jun 11, 2021 to Feb 25, 2022
- HNW clients · 45 to 50Jun 11, 2021 to Feb 25, 2022
- Individual clients · 11 to 12Jun 11, 2021 to Feb 25, 2022
- Discretionary RAUM · $51.5M to $87.7MJun 11, 2021 to Feb 25, 2022
- HNW RAUM · $47.2M to $83.7MJun 11, 2021 to Feb 25, 2022
- Individual RAUM · $3.2M to $2.7MJun 11, 2021 to Feb 25, 2022
Signals
7 dated events
- Dmitro Adrian Basaraba (Director) no longer on Schedule A of C•••••• C•••••• M••••••••• U• L•••••• (listed 2022-07-04, absent 2023-02-07)Feb 7, 2023 · Control person left · inference
- R••••• S••• A•••••••• (Chief Compliance Officer) no longer on Schedule A of C•••••• C•••••• M••••••••• U• L•••••• (listed 2022-02-25, absent 2022-07-04)Jul 4, 2022 · Control person left · inference
- Ann Jennifer Wood (Chief Compliance Officer) appeared on Schedule A of C•••••• C•••••• M••••••••• U• L••••••Jul 4, 2022 · Control person joined · fact
- Greg Bay (Managing Partner) no longer on Schedule A of C•••••• C•••••• M••••••••• U• L•••••• (listed 2021-06-11, absent 2022-02-25)Feb 25, 2022 · Control person left · inference
- Norman Dean A•••••••• (Managing Partner) no longer on Schedule A of C•••••• C•••••• M••••••••• U• L•••••• (listed 2021-06-11, absent 2022-02-25)Feb 25, 2022 · Control person left · inference
- Keith Brian A•••••••• (Managing Director & Chief Financial Officer) appeared on Schedule A of C•••••• C•••••• M••••••••• U• L••••••Feb 26, 2021 · Control person joined · fact
- R••••• S••• A•••••••• (Portfolio Manager And Chief Compliance Officer) appeared on Schedule A of C•••••• C•••••• M••••••••• U• L••••••Feb 27, 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.
How to reach
public business contact points only, each with its source
- Business email
- i•••@c•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 604-659-1850reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 604-659-1899reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 877-659-1850reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- C••••••CAP.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 604-659-1850reportedpublic record, Form ADV, Feb 27, 2026
- Contact form
- c•••••••••.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
- Independent wealth managerderiveda 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