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

A•• I•••••••••

Former SEC-registered adviserToronto, Ontario, CRD 145669SEC 801-68681websiteIAPD
Legal name A•• I••••••••• A•••••• I••• • P••••••••• A•• A••••••• I•••
Latest filing Feb 28, 2025
First filing on the tape Dec 8, 2011 · 35 filings
SEC status approved since Jan 2, 2008
RAUM
$21.6M
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
7
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$21.6M as of Feb 28, 2025
Dec 8, 2011$1.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 28, 2025
Dec 8, 20110 then
Employees (5.A)7 as of Feb 28, 2025
Feb 25, 201325 then
Private funds: no history
RAUM -96% over the last fiscal year-72% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 28, 2025; 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
$10.8MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-96%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 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
0reported
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
      • G•••••••• B••••• C•••••• · Chairman & Director (Lead)control
        since 08/2009 · owns less than 5%
      • G•••••••• J•••••• G••• · Directorcontrol
        since 11/2009 · owns less than 5%
      • T••••• K••• S•• · Chief Financial Officercontrol
        since 06/2023 · owns less than 5%
      • G•••••••• B••••• C•••••• · Direct Ownercontrol
        since 04/2008 · owns 75% or more of B•• H•••••• C•••••••••
      • A••••• M•••• W•••••• · Corporate Secretary
        since 09/2015 · owns less than 5%
      • M••••••••• K••••• A••••• · Chief Investment Officer
        since 02/2015 · owns less than 5%
      • W•••• H••••••• E•••••••• · Chief Compliance Officer
        since 01/2022 · owns less than 5%
      Entity owners
      • A•• M••••••••• L•••••• · Direct Owner
        direct · owns 75% or more
      • A•• I••••••••• A•••••• I••• · Direct Owner
        direct · owns 75% or more
      • A•• M••••••••• L••• · Direct Owner
        indirect · owns 75% or more of A•• I••••••••• A•••••• I•••
      • B•• H•••••• C••••••••• · Shareholder
        indirect · owns 50% to 75% of G••••••• C•••••• C•••••••••
      • G••••••• C•••••• C••••••••• · Shareholder
        indirect · owns 75% or more of A•• M••••••••• L••••••
      Related persons
      Schedule D 7.A
      • A•• I••••••••• A••••••• C•••••• L••••••
        investment advisern
      • A•• I••••••••• I•••
        investment advisern
      • A•• I•••••••••
        investment advisernRAUM $4.9B
      • A•••••• A•••• M••••••••• I•••
        investment advisern
      • C•••••• C•••••• M••••••••• L••••••
        investment advisern
      • C•••••• C•••••• M••••••••• U• L••••••
        investment advisernRAUM $106M
      • D•••••• • A••••••••• L•••
        investment advisern
      • H••••••••• A•••• M••••••••• I•••
        investment advisern
      Advisers that list A•• I••••••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Boston, MA
      What changed
      consecutive filings, newest first
      • Accounts · 5 to 2
        Jan 17, 2025 to Feb 28, 2025
      • Advisory employees · 7 to 5
        Jan 17, 2025 to Feb 28, 2025
      • Advisory activities · 2 to 1
        Jan 17, 2025 to Feb 28, 2025
      • Employees · 9 to 7
        Jan 17, 2025 to Feb 28, 2025
      • Discretionary RAUM · $570M to $21.6M
        Jan 17, 2025 to Feb 28, 2025
      • RAUM · $570M to $21.6M
        Jan 17, 2025 to Feb 28, 2025
      • HQ state · unset to
        Feb 28, 2024 to Jan 17, 2025
      • Legal name · A•• I••••••••• A•••••• I••• • P••••••••• A•• A••••••• I••• to A•• I••••••••• A•••••• I••• • P••••••••• A•• A••••••• I•••
        Feb 28, 2024 to Jan 17, 2025
      • Advisory employees · 9 to 7
        Jun 2, 2023 to Feb 28, 2024
      • Business name · A•• I••••••••• A•••••• I••• • P••••••••• A•• A••••••• I••• to A•• I•••••••••
        Jun 2, 2023 to Feb 28, 2024
      • Employees · 11 to 9
        Jun 2, 2023 to Feb 28, 2024
      • Discretionary RAUM · $576M to $570M
        Jun 2, 2023 to Feb 28, 2024
      • RAUM · $576M to $570M
        Jun 2, 2023 to Feb 28, 2024
      • Other offices · 0 to 1
        Feb 28, 2023 to Jun 2, 2023
      • Accounts · 6 to 5
        Nov 4, 2022 to Feb 28, 2023
      • Advisory employees · 6 to 9
        Nov 4, 2022 to Feb 28, 2023
      • BD registered reps · 1 to 0
        Nov 4, 2022 to Feb 28, 2023
      • Pension plan clients · 1.0 to unset
        Nov 4, 2022 to Feb 28, 2023
      • Employees · 9 to 11
        Nov 4, 2022 to Feb 28, 2023
      • HQ city · TORONTO to TORONTO, ONTARIO
        Nov 4, 2022 to Feb 28, 2023
      • Other offices · 1 to 0
        Nov 4, 2022 to Feb 28, 2023
      • Discretionary RAUM · $954M to $576M
        Nov 4, 2022 to Feb 28, 2023
      • Pension RAUM · 212203429.0 to unset
        Nov 4, 2022 to Feb 28, 2023
      • RAUM · $954M to $576M
        Nov 4, 2022 to Feb 28, 2023
      • Related bank · false to true
        Nov 4, 2022 to Feb 28, 2023
      • Related broker-dealer · true to false
        Nov 4, 2022 to Feb 28, 2023
      • Accounts · 4 to 6
        Jan 14, 2022 to Feb 28, 2022
      • Advisory employees · 10 to 6
        Jan 14, 2022 to Feb 28, 2022
      • BD registered reps · 2 to 1
        Jan 14, 2022 to Feb 28, 2022
      • Employees · 25 to 9
        Jan 14, 2022 to Feb 28, 2022
      • Discretionary RAUM · $668M to $954M
        Jan 14, 2022 to Feb 28, 2022
      • Pension RAUM · $181M to $212M
        Jan 14, 2022 to Feb 28, 2022
      • RAUM · $668M to $954M
        Jan 14, 2022 to Feb 28, 2022
      • Accounts · 3 to 4
        Feb 26, 2020 to Feb 24, 2021
      • Discretionary RAUM · $525M to $668M
        Feb 26, 2020 to Feb 24, 2021
      • Pension RAUM · $171M to $181M
        Feb 26, 2020 to Feb 24, 2021
      • RAUM · $525M to $668M
        Feb 26, 2020 to Feb 24, 2021
      • Accounts · 4 to 3
        Feb 8, 2019 to Feb 26, 2020
      • Advisory activities · 3 to 2
        Feb 8, 2019 to Feb 26, 2020
      • BD registered reps · 5 to 2
        Feb 8, 2019 to Feb 26, 2020
      Signals
      10 dated events
      • A•• I••••••••• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $21.6M)
        Dec 20, 2025 · Left the SEC roster · derived
      • A•• I••••••••• reported RAUM $21.6M, down 96% from $570.5M (2025-01-17 to 2025-02-28)
        Feb 28, 2025 · RAUM change · derived
      • Jennifer Quinn (Chief Financial Officer) no longer on Schedule A of A•• I••••••••• (listed 2023-06-02, absent 2024-02-28)
        Feb 28, 2024 · Control person left · inference
      • Sin Ken Tsang (Chief Financial Officer) appeared on Schedule A of A•• I•••••••••
        Feb 28, 2024 · Control person joined · fact
      • Dmitro Adrian Basaraba (Director) no longer on Schedule A of A•• I••••••••• (listed 2022-11-04, absent 2023-02-28)
        Feb 28, 2023 · Control person left · inference
      • A•• I••••••••• reported RAUM $576.1M, down 40% from $954.3M (2022-11-04 to 2023-02-28)
        Feb 28, 2023 · RAUM change · derived
      • Jennifer Quinn (Chief Financial Officer) appeared on Schedule A of A•• I•••••••••
        Feb 28, 2023 · Control person joined · fact
      • A•• I••••••••• reported RAUM $954.3M, up 43% from $668.4M (2022-01-14 to 2022-02-28)
        Feb 28, 2022 · RAUM change · derived
      • A•• I••••••••• reported RAUM $668.4M, up 27% from $524.9M (2020-02-26 to 2021-02-24)
        Feb 24, 2021 · RAUM change · derived
      • A•• I••••••••• reported RAUM $481.7M, up 27% from $378.8M (2017-09-28 to 2018-02-28)
        Feb 28, 2018 · 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.
      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