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

P•••••• I•••

Former SEC-registered adviserMontreal, Quebec, CRD 140086SEC 801-66599IAPD
Latest filing Sep 28, 2022
First filing on the tape Mar 14, 2012 · 41 filings
RAUM
$741M
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
17
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
41 filings and snapshots on the tape
RAUM$741M as of Sep 28, 2022
Apr 4, 2012$489M then
HNW client RAUM$0 as of Dec 2, 2021
Nov 29, 2017$9.4M then
State-registered IARs (5.B.3)0 as of Sep 28, 2022
Apr 4, 20120 then
Employees (5.A)17 as of Sep 28, 2022
Oct 16, 201322 then
Private funds: no history
RAUM -33% over the last fiscal year-17% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 28, 2022; 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
$106MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
7.1%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
-33%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
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
  • Pooled investment vehicles$475M64%
  • Corporations and businesses$213M29%
  • Insurance companies$53.0M7.1%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
7reported
Financial planning clients
n/areported
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
      • A••• R•••••• T•••• · Board Membercontrol
        since 06/2022 · owns less than 5%
      • C••••• M• S••• N•• · Chief Compliance Officercontrol
        since 02/2022 · owns less than 5%
      • D••••••• E•••• J••• · Board Membercontrol
        since 06/2022 · owns less than 5%
      • F•••••••• M••••••••• N•• · Chief Executive Officercontrol
        since 04/2022 · owns less than 5%
      • L••••• N•••••• N•• · Head Of Finance And Administrationcontrol
        since 01/2019 · owns less than 5%
      • M•••••• F•••••• A•••••••• · Board Membercontrol
        since 06/2022 · owns less than 5%
      • R•••• L•••• N•• · Board Membercontrol
        since 06/2022 · owns less than 5%
      • W••••• B••••• N•••••• · Shareholdercontrol
        since 12/2018 · owns 50% to 75% of Q•••••• C•••• D••••••••• L••••••
      • W••••• B••••• N•••••• · Shareholdercontrol
        since 08/2019 · owns 50% to 75% of Q•••••• C•••• H•••••• S•••••••
      • W••••• B••••• S•••• · Shareholdercontrol
        since 08/2019 · owns 50% to 75% of Q•••••• C•••• H•••••• S•••••••
      • W••••• B••••• S•••• · Shareholdercontrol
        since 12/2018 · owns 50% to 75% of Q•••••• C•••• D••••••••• L••••••
      Entity owners
      • S•••• A•••• M••••••••• L••• · Shareholder
        direct · owns 75% or more
      • Q•••••• C•••• D••••••••• L•••••• · Shareholder
        indirect · owns 75% or more of Q•••••• C•••• P••••••••• I•••
      • Q•••••• C•••• H•••••• S••••••• · Shareholder
        indirect · owns 75% or more of Q•••••• C•••• P••••••••• U••
      • Q•••••• C•••• H•••••• S••••••• · Shareholder
        indirect · owns F of S•••• A•••• M••••••••• G• I•••
      • Q•••••• C•••• P••••••••• I••• · Preferred Shareholder
        indirect · owns F of Q•••••• C•••• P••••••••• U••
      • Q•••••• C•••• P••••••••• U•• · L•••••• Partner
        indirect · owns 50% to 75% of S•••• A•••• M••••••••• L•••
      • S•••• A•••• M••••••••• G• I••• · General Partner
        indirect · owns F of S•••• A•••• M••••••••• L•••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 10 to 7
        May 25, 2022 to Sep 28, 2022
      • Advisory activities · 3 to 2
        May 25, 2022 to Sep 28, 2022
      • Charity clients · 0.0 to unset
        May 25, 2022 to Sep 28, 2022
      • Corporate clients · unset to 2.0
        May 25, 2022 to Sep 28, 2022
      • HNW clients · 0.0 to unset
        May 25, 2022 to Sep 28, 2022
      • Individual clients · 0.0 to unset
        May 25, 2022 to Sep 28, 2022
      • Pension plan clients · 0.0 to unset
        May 25, 2022 to Sep 28, 2022
      • Pooled vehicle clients · 5 to 4
        May 25, 2022 to Sep 28, 2022
      • Employees · 22 to 17
        May 25, 2022 to Sep 28, 2022
      • Discretionary RAUM · $1.1B to $741M
        May 25, 2022 to Sep 28, 2022
      • HNW RAUM · 0.0 to unset
        May 25, 2022 to Sep 28, 2022
      • Individual RAUM · 0.0 to unset
        May 25, 2022 to Sep 28, 2022
      • Pension RAUM · 0.0 to unset
        May 25, 2022 to Sep 28, 2022
      • Pooled vehicle RAUM · $641M to $475M
        May 25, 2022 to Sep 28, 2022
      • RAUM · $1.1B to $741M
        May 25, 2022 to Sep 28, 2022
      • Discretionary RAUM · $1.7B to $1.1B
        Jul 16, 2021 to Dec 2, 2021
      • Pooled vehicle RAUM · $894M to $641M
        Jul 16, 2021 to Dec 2, 2021
      • RAUM · $1.7B to $1.1B
        Jul 16, 2021 to Dec 2, 2021
      • Discretionary RAUM · $1.2B to $1.7B
        Dec 11, 2020 to Jun 30, 2021
      • Pooled vehicle RAUM · $626M to $894M
        Dec 11, 2020 to Jun 30, 2021
      • RAUM · $1.2B to $1.7B
        Dec 11, 2020 to Jun 30, 2021
      • Accounts · 9 to 10
        Mar 19, 2020 to Dec 11, 2020
      • Pooled vehicle clients · 2 to 5
        Mar 19, 2020 to Dec 11, 2020
      • Discretionary RAUM · $1.3B to $1.2B
        Mar 19, 2020 to Dec 11, 2020
      • Pooled vehicle RAUM · $475M to $626M
        Mar 19, 2020 to Dec 11, 2020
      • RAUM · $1.3B to $1.2B
        Mar 19, 2020 to Dec 11, 2020
      • Accounts · 15 to 9
        Mar 6, 2019 to Dec 18, 2019
      • Advisory employees · 12 to 10
        Mar 6, 2019 to Dec 18, 2019
      • Employees · 26 to 22
        Mar 6, 2019 to Dec 18, 2019
      • Discretionary RAUM · $1.6B to $1.3B
        Mar 6, 2019 to Dec 18, 2019
      • Pooled vehicle RAUM · $397M to $475M
        Mar 6, 2019 to Dec 18, 2019
      • RAUM · $1.6B to $1.3B
        Mar 6, 2019 to Dec 18, 2019
      • Accounts · 19 to 15
        Aug 14, 2018 to Dec 14, 2018
      • HNW clients · unset to 0.0
        Aug 14, 2018 to Dec 14, 2018
      • Discretionary RAUM · $1.5B to $1.6B
        Aug 14, 2018 to Dec 14, 2018
      • HNW RAUM · $9.4M to $0
        Aug 14, 2018 to Dec 14, 2018
      • Pooled vehicle RAUM · $376M to $397M
        Aug 14, 2018 to Dec 14, 2018
      • RAUM · $1.5B to $1.6B
        Aug 14, 2018 to Dec 14, 2018
      • Advisory employees · 10 to 12
        Jul 9, 2018 to Aug 14, 2018
      • Employees · 25 to 26
        Jul 9, 2018 to Aug 14, 2018
      Signals
      14 dated events
      • Scott Brady Welch (Shareholder) appeared on Schedule A of P•••••• I•••
        Sep 28, 2022 · Control person joined · fact
      • Norbert Blair Welch (Shareholder) appeared on Schedule A of P•••••• I•••
        Sep 28, 2022 · Control person joined · fact
      • Nmn Marc-Andre Flageole (Chief Executive Officer) appeared on Schedule A of P•••••• I•••
        Sep 28, 2022 · Control person joined · fact
      • Alexander Fraser Mcewen (Board Member) appeared on Schedule A of P•••••• I•••
        Sep 28, 2022 · Control person joined · fact
      • Tarik Ramsey Ali (Board Member) appeared on Schedule A of P•••••• I•••
        Sep 28, 2022 · Control person joined · fact
      • John Erik Dmytruk (Board Member) appeared on Schedule A of P•••••• I•••
        Sep 28, 2022 · Control person joined · fact
      • Nmn Lisa Rowe (Board Member) appeared on Schedule A of P•••••• I•••
        Sep 28, 2022 · Control person joined · fact
      • P•••••• I••• reported RAUM $741.3M, down 33% from $1.1B (2022-05-25 to 2022-09-28)
        Sep 28, 2022 · RAUM change · derived
      • D•••• Emmanuel Matte (Chief Executive Officer) no longer on Schedule A of P•••••• I••• (listed 2022-03-21, absent 2022-05-18)
        May 18, 2022 · Control person left · inference
      • Mi Soo C•••• (Chief Compliance Officer) appeared on Schedule A of P•••••• I•••
        Mar 21, 2022 · Control person joined · fact
      • P•••••• I••• reported RAUM $1.1B, down 35% from $1.7B (2021-07-16 to 2021-12-02)
        Dec 2, 2021 · RAUM change · derived
      • L••••• C•••••• D•••• D•••••• (Chief Compliance Officer) no longer on Schedule A of P•••••• I••• (listed 2021-07-16, absent 2021-12-02)
        Dec 2, 2021 · Control person left · inference
      • P•••••• I••• reported RAUM $1.7B, up 37% from $1.2B (2020-12-11 to 2021-06-30)
        Jun 30, 2021 · RAUM change · derived
      • Nicole Leduc (Head Of Finance And Administration) appeared on Schedule A of P•••••• I•••
        Mar 6, 2019 · 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