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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

O••• C••••• A•••• M••••••••• I•••

Former SEC-registered adviserToronto On, CRD 144928SEC 801-68290IAPD
Latest filing Apr 23, 2024
First filing on the tape Mar 30, 2012 · 49 filings
RAUM
$2.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
9.0%
$196M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
70
16 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
7
$1.5B gross assets
History
49 filings and snapshots on the tape
RAUM$2.2B as of Mar 28, 2024
Sep 28, 2012$5.8B then
HNW client RAUM$196M as of Mar 28, 2024
Oct 1, 2018$267M then
State-registered IARs (5.B.3)0 as of Mar 28, 2024
Sep 27, 20130 then
Employees (5.A)70 as of Mar 28, 2024
Sep 27, 2013104 then
Private funds7 as of Mar 28, 2024
Sep 28, 201214 then
RAUM -64% over the last fiscal year-28% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 23, 2024; 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
$452,281derivedHNW RAUM over HNW clients
Average account
$2.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
2.4%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
-64%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 institutions, portfolio management for pooled vehicles, educational seminarsreportedItem 5.G
Custody
$2.2B, 2,208 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)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$1.6B76%
  • Corporations and businesses$276M13%
  • High-net-worth individuals$196M9.1%
  • Insurance companies$34.5M1.6%
  • Charitable organizations$19.0M0.9%
Individual clients
n/areported
HNW clients
433reported
Pension plan clients
n/areported
Charitable clients
3reported
Accounts
751reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$2.2B for 2,208 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
      30 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      O••• B•••• F••••••• G••••• C••••• M••••• F••• ••••••• L•Hedge Fund$1.4B2,769May 30, 2018
      G••• T••••••• F•••• I••••• F••• I•no longer reportedHedge Fund$911M2,858Aug 27, 2013
      G••• P•••••• I••••• F•••no longer reportedHedge Fund$716M2,504Feb 26, 2013
      G••• E• M••••• F•••no longer reportedHedge Fund$564M1,428Feb 26, 2013
      G••• T••••••• F•••• I••••• F•••no longer reportedHedge Fund$519M1,129May 29, 2013
      G••• H••• I••••••• C••• F•••Liquidity Fund$492M940Mar 30, 2012
      G••• I••••• L••••••••• F•••no longer reportedHedge Fund$472M801Feb 26, 2013
      O••• U••• E••••• F•••Hedge Fund$398M1,322Mar 30, 2012
      O••• G••••• S•••••• S••••••••• F•••Hedge Fund$323M1,168Aug 25, 2017
      G••• E••••••• Y•••• F•••no longer reportedHedge Fund$292M977Mar 30, 2012
      O••• I••••••••• F•••Hedge Fund$237M1,074Mar 30, 2012
      O••• D••••••• D••••••••• F•••Other Private Fund$231M830May 22, 2019
      G••• I••••• L••••••••• T••••no longer reportedHedge Fund$142M773Mar 30, 2012
      O••• P•••••• I••••• T••••Hedge Fund$130M763Mar 30, 2012
      O••• S••••• C••••• F••• •••••••Hedge Fund$102M615Mar 30, 2020
      O••• H••• Y•••• B••• F••• •••••••Hedge Fund$102M746Sep 1, 2016
      G••• M••••••••• T••••no longer reportedHedge Fund$85.2M597Mar 30, 2012
      G••• T••••••• F•••• I••••• F••• ••••••••• L•no longer reportedHedge Fund$66.7M50May 18, 2018
      G••• S•••• T••• B••• F••• •••••••• G••• E••••••• B••• F••••Hedge Fund$64.0M118Mar 30, 2012
      G••• R••••••• L••••••••• F•••no longer reportedHedge Fund$56.0M135Mar 30, 2012
      G••• F•••••• L••••••••• T••••no longer reportedHedge Fund$38.9M327May 29, 2013
      G••• M••••••••• O••••••••• T••••no longer reportedHedge Fund$29.9M242Mar 30, 2012
      G••• U••• E••••• F••• I•no longer reportedHedge Fund$28.7M104Mar 30, 2012
      G••• C••••• A•••••••• F•••no longer reportedHedge Fund$26.2M91Mar 30, 2012
      G••• N•••• A••••••• A•••••• F•••no longer reportedOther Private Fund$26.1M110Mar 30, 2012
      G••• R••••••• F•••no longer reportedHedge Fund$13.1M230Mar 30, 2012
      G••• P•••••• I••••• F••• ••••••••• L•Hedge Fund$12.6M18May 18, 2018
      G••• U• E••••• F••• ••••••••• L•Hedge Fund$8.1M15May 18, 2018
      G••• I••••••••• F••• ••••••••• L•Hedge Fund$4.8M14May 18, 2018
      G••• E••••••• B••• F••• ••••••••• L•Hedge Fund$2.4M6May 18, 2018
      Owners and control persons
      Schedule A and B, latest filing
      • G••••• C••••••••• A•••• · Directorcontrol
        since 10/2021 · owns less than 5%
      • M•••• J•••• K••• · Managing Director, Operationscontrol
        since 10/2023 · owns less than 5%
      • S•••••••• G•••••• W•••••• · Shareholdercontrol
        since 03/2013 · owns 75% or more of N•• O•••• C••••••• H••••••• L•••
      • C••••••••• S•••• M•••••••• · Chief Compliance Officer & Vp, Legal
        since 07/2022 · owns less than 5%
      Entity owners
      • O••• G• H••••••• L• · Shareholder
        direct · owns 75% or more
      • 1•••••• O•••••• I••• · Shareholder
        indirect · owns 75% or more of N•• P•• I• I••••••••• L•••
      • A••• C•••••• L••• · Shareholder
        indirect · owns 75% or more of 1•••••• O•••••• I•••
      • N•• O•••• C••••••• H••••••• L••• · Shareholder
        indirect · owns 75% or more of O•••• C••••••• H••••••• L•••
      • N•• P•• I• I••••••••• L••• · Shareholder
        indirect · owns 75% or more of O••• H••••••• L••••••
      • O••• H••••••• L•••••• · Shareholder
        indirect · owns 50% to 75% of O••• C•••••••••
      • O•••• C••••••• H••••••• L••• · Shareholder
        indirect · owns 75% or more of A••• C•••••• L•••
      • O••• C••••••••• · Shareholder
        indirect · owns 75% or more of O••• G• H••••••• L•••••• S•••
      • O••• G• H••••• L••• · Shareholder
        indirect · owns 75% or more of O••• G• H••••••• L•
      • O••• G• H••••••• G• L••• · General Partner
        indirect · owns F of O••• G• H••••••• L•
      • O••• G• H••••••• L•••••• S••• · Shareholder
        indirect · owns 75% or more of O••• G• H••••• L•••
      Related persons
      Schedule D 7.A
      Advisers that list O••• C••••• A•••• M••••••••• I••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 1,227 to 751
        Dec 21, 2023 to Mar 28, 2024
      • Advisory employees · 29 to 16
        Dec 21, 2023 to Mar 28, 2024
      • Advisory activities · 5 to 4
        Dec 21, 2023 to Mar 28, 2024
      • Business name · G•••••• S•••• • A••••••••• I•• to O••• C••••• A•••• M••••••••• I•••
        Dec 21, 2023 to Mar 28, 2024
      • Charity clients · 19 to 3
        Dec 21, 2023 to Mar 28, 2024
      • Corporate clients · 463 to 304
        Dec 21, 2023 to Mar 28, 2024
      • HNW clients · 685 to 433
        Dec 21, 2023 to Mar 28, 2024
      • Individual clients · 29.0 to unset
        Dec 21, 2023 to Mar 28, 2024
      • Pension plan clients · 6.0 to unset
        Dec 21, 2023 to Mar 28, 2024
      • Pooled vehicle clients · 21 to 8
        Dec 21, 2023 to Mar 28, 2024
      • Assets in custody · $6.0B to $2.2B
        Dec 21, 2023 to Mar 28, 2024
      • Employees · 180 to 70
        Dec 21, 2023 to Mar 28, 2024
      • Financial planning clients · 51-100 to unset
        Dec 21, 2023 to Mar 28, 2024
      • Legal name · G•••••• S•••• • A••••••••• I•• to O••• C••••• A•••• M••••••••• I•••
        Dec 21, 2023 to Mar 28, 2024
      • Private funds · 14 to 7
        Dec 21, 2023 to Mar 28, 2024
      • Discretionary RAUM · $5.9B to $2.2B
        Dec 21, 2023 to Mar 28, 2024
      • HNW RAUM · $458M to $196M
        Dec 21, 2023 to Mar 28, 2024
      • Individual RAUM · 7687709.0 to unset
        Dec 21, 2023 to Mar 28, 2024
      • Non-discretionary RAUM · $147M to $2.0M
        Dec 21, 2023 to Mar 28, 2024
      • Pension RAUM · 6066018.0 to unset
        Dec 21, 2023 to Mar 28, 2024
      • Pooled vehicle RAUM · $4.7B to $1.6B
        Dec 21, 2023 to Mar 28, 2024
      • RAUM · $6.0B to $2.2B
        Dec 21, 2023 to Mar 28, 2024
      • Accounts · 488 to 1,227
        Jul 21, 2022 to Mar 31, 2023
      • Advisory employees · 33 to 29
        Jul 21, 2022 to Mar 31, 2023
      • Charity clients · 14 to 19
        Jul 21, 2022 to Mar 31, 2023
      • Corporate clients · 146 to 463
        Jul 21, 2022 to Mar 31, 2023
      • HNW clients · 242 to 685
        Jul 21, 2022 to Mar 31, 2023
      • Individual clients · 56 to 29
        Jul 21, 2022 to Mar 31, 2023
      • Pension plan clients · 4 to 6
        Jul 21, 2022 to Mar 31, 2023
      • Pooled vehicle clients · 24 to 21
        Jul 21, 2022 to Mar 31, 2023
      • Assets in custody · $112M to $6.0B
        Jul 21, 2022 to Mar 31, 2023
      • Employees · 143 to 180
        Jul 21, 2022 to Mar 31, 2023
      • Private funds · 16 to 14
        Jul 21, 2022 to Mar 31, 2023
      • Discretionary RAUM · $6.0B to $5.9B
        Jul 21, 2022 to Mar 31, 2023
      • HNW RAUM · $268M to $458M
        Jul 21, 2022 to Mar 31, 2023
      • Individual RAUM · $110M to $7.7M
        Jul 21, 2022 to Mar 31, 2023
      • Non-discretionary RAUM · $181M to $147M
        Jul 21, 2022 to Mar 31, 2023
      • Pension RAUM · $9.0M to $6.1M
        Jul 21, 2022 to Mar 31, 2023
      • Pooled vehicle RAUM · $5.1B to $4.7B
        Jul 21, 2022 to Mar 31, 2023
      • RAUM · $6.2B to $6.0B
        Jul 21, 2022 to Mar 31, 2023
      Signals
      25 dated events
      • Michael Robert Le Blanc (Director) no longer on Schedule A of O••• C••••• A•••• M••••••••• I••• (listed 2023-12-21, absent 2024-03-28)
        Mar 28, 2024 · Control person left · inference
      • O••• C••••• A•••• M••••••••• I••• reported RAUM $2.2B, down 64% from $6.0B (2023-12-21 to 2024-03-28)
        Mar 28, 2024 · RAUM change · derived
      • A•••• Peter Zaltz (Chief Investment Officer) no longer on Schedule A of O••• C••••• A•••• M••••••••• I••• (listed 2023-08-30, absent 2023-12-21)
        Dec 21, 2023 · Control person left · inference
      • Karl J••• Mack (Managing Director, Operations) appeared on Schedule A of O••• C••••• A•••• M••••••••• I•••
        Dec 21, 2023 · Control person joined · fact
      • J•••• D•••• K•••• (Head Of Gluskin Sheff) no longer on Schedule A of O••• C••••• A•••• M••••••••• I••• (listed 2023-08-30, absent 2023-12-21)
        Dec 21, 2023 · Control person left · inference
      • Sri P•••• L••• (Vp, Compliance) no longer on Schedule A of O••• C••••• A•••• M••••••••• I••• (listed 2022-03-31, absent 2022-07-21)
        Jul 21, 2022 · Control person left · inference
      • Allan Christopher Govan (Director) appeared on Schedule A of O••• C••••• A•••• M••••••••• I•••
        Feb 7, 2022 · Control person joined · fact
      • J•••• D•••• K•••• (Head Of Gluskin Sheff) appeared on Schedule A of O••• C••••• A•••• M••••••••• I•••
        Feb 7, 2022 · Control person joined · fact
      • Wilburn Jeffrey Moody (President & Executive Chief Officer) no longer on Schedule A of O••• C••••• A•••• M••••••••• I••• (listed 2021-08-25, absent 2022-02-07)
        Feb 7, 2022 · Control person left · inference
      • Demetris Jim Bantis (Executive Vice-President) no longer on Schedule A of O••• C••••• A•••• M••••••••• I••• (listed 2021-08-25, absent 2022-02-07)
        Feb 7, 2022 · Control person left · inference
      • A•••••• Munk (Director) no longer on Schedule A of O••• C••••• A•••• M••••••••• I••• (listed 2021-08-25, absent 2022-02-07)
        Feb 7, 2022 · Control person left · inference
      • Jeffrey George Young (Chief Risk Officer) no longer on Schedule A of O••• C••••• A•••• M••••••••• I••• (listed 2021-08-25, absent 2022-02-07)
        Feb 7, 2022 · Control person left · inference
      • Sri P•••• L••• (Vp, Compliance) appeared on Schedule A of O••• C••••• A•••• M••••••••• I•••
        Aug 25, 2021 · Control person joined · fact
      • Jean Amy Aubin (Chief Compliance Officer) no longer on Schedule A of O••• C••••• A•••• M••••••••• I••• (listed 2021-03-31, absent 2021-08-25)
        Aug 25, 2021 · Control person left · inference
      • Michael Robert Le Blanc (Director) appeared on Schedule A of O••• C••••• A•••• M••••••••• I•••
        Mar 31, 2021 · Control person joined · fact
      • Jeffrey George Young (Chief Risk Officer) appeared on Schedule A of O••• C••••• A•••• M••••••••• I•••
        Mar 31, 2021 · Control person joined · fact
      • A•••••• J••• W••••••• (Managing Director, Risk Management) no longer on Schedule A of O••• C••••• A•••• M••••••••• I••• (listed 2020-08-27, absent 2021-03-31)
        Mar 31, 2021 · Control person left · inference
      • Seth Mersky (Director) no longer on Schedule A of O••• C••••• A•••• M••••••••• I••• (listed 2020-08-27, absent 2021-03-31)
        Mar 31, 2021 · Control person left · inference
      • Roy D•••• Morris (Chief Financial Officer) no longer on Schedule A of O••• C••••• A•••• M••••••••• I••• (listed 2019-09-30, absent 2020-03-30)
        Mar 30, 2020 · Control person left · inference
      • Wilfred Gerald Schwartz (Shareholder) appeared on Schedule A of O••• C••••• A•••• M••••••••• I•••
        Sep 30, 2019 · Control person joined · fact
      • A•••••• Munk (Director) appeared on Schedule A of O••• C••••• A•••• M••••••••• I•••
        Sep 30, 2019 · Control person joined · fact
      • Seth Mersky (Director) appeared on Schedule A of O••• C••••• A•••• M••••••••• I•••
        Sep 30, 2019 · Control person joined · fact
      • A•••• D•••• R•••••••• (Chief Economist & Strategist) no longer on Schedule A of O••• C••••• A•••• M••••••••• I••• (listed 2019-06-25, absent 2019-09-30)
        Sep 30, 2019 · Control person left · inference
      • L•••••• Q•••• (Chief Operations Officer) no longer on Schedule A of O••• C••••• A•••• M••••••••• I••• (listed 2019-06-25, absent 2019-09-30)
        Sep 30, 2019 · Control person left · inference
      • Mcdaniel Peter Mann (Executive Vice-President, Co-Investment Officer & Head Of Equities) no longer on Schedule A of O••• C••••• A•••• M••••••••• I••• (listed 2019-06-25, absent 2019-09-30)
        Sep 30, 2019 · Control person left · inference
      Across DFX
      shared identifiers only, never a name match
      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