DFX Intelligence
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SEC-registered adviser
P••••••• P••••••• C•••••• M•••••••••
Legal name P••••••• P••••••• I••
Latest filing Jan 22, 2026
First filing on the tape Mar 29, 2012 · 28 filings
SEC status approved since Jan 2, 2009
RAUM
$316M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
75%
$236M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$316M
derived; firm RAUM over IAPD count
Employees
10
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$316M as of Jan 22, 2026
Mar 29, 2012$55.0M then
HNW client RAUM$160M as of Jan 22, 2026
Mar 21, 2018$51.6M then
State-registered IARs (5.B.3)1 as of Jan 22, 2026
Apr 2, 20131 then
Employees (5.A)10 as of Jan 22, 2026
Apr 2, 20137 then
Private funds1 as of Jan 10, 2024
Mar 23, 20171 then
RAUM +25% over the last fiscal year+16% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jan 22, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $316MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 544derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.1MderivedHNW RAUM over HNW clients
- Average account
- $218,359derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 10.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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$160M51%
- Individuals$76.4M24%
- Pooled investment vehicles$46.7M15%
- Corporations and businesses$33.1M10%
- Individual clients
- 402reported
- HNW clients
- 142reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,447reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.75 fund_share=0.15 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| N••••• C•••••• G•••• | Surrey | Jan 1, 2016 | 17 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••••••• P••••••• T••••••• B••••••• F••• | Other Private Fund | $34.2M | 480 | Nov 1, 2016 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• A••••••• · Chief Compliance Officer And Vice Presidentcontrolsince 05/2008 · owns less than 5%
- G••••• N•••••• C•••••• · Vice Presidentcontrolsince 05/2008 · owns less than 5%
- S•••• A•••••••• S•••• · Presidentcontrolsince 05/2008 · owns less than 5%
- B•••••• A••••••• · Shareholdercontrolsince 02/2016 · owns 75% or more of C••••• P•••••• H••••••• L•••
- G••••• N•••••• C•••••• · Shareholdercontrolsince 02/2016 · owns 75% or more of A••••• I••••••••• L•••
- S•••• A•••••••• S•••• · Shareholdercontrolsince 02/2016 · owns 75% or more of S••• P•••••• H••••••• L•••
Entity owners
- A••••• I••••••••• L••• · Shareholderdirect · owns 25% to 50%
- C••••• P•••••• H••••••• L••• · Shareholderdirect · owns 25% to 50%
- S••• P•••••• H••••••• L••• · Shareholderdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- P••••••• P••••••• C•••••• M••••••••• I•••investment adviseryRAUM $128M
Advisers that list P••••••• P••••••• C•••••• M••••••••• as a related person
- 162313 y
Offices
Schedule D 1.F, the 25 largest
- Calgary, Canada1 employees
What changed
consecutive filings, newest first
- Accounts · 1,392 to 1,447Mar 19, 2025 to Jan 22, 2026
- Corporate clients · 27 to 35Mar 19, 2025 to Jan 22, 2026
- HNW clients · 112 to 142Mar 19, 2025 to Jan 22, 2026
- Individual clients · 401 to 402Mar 19, 2025 to Jan 22, 2026
- Employees · 9 to 10Mar 19, 2025 to Jan 22, 2026
- Discretionary RAUM · $248M to $312MMar 19, 2025 to Jan 22, 2026
- HNW RAUM · $118M to $160MMar 19, 2025 to Jan 22, 2026
- Individual RAUM · $70.7M to $76.4MMar 19, 2025 to Jan 22, 2026
- Non-discretionary RAUM · $4.1M to $3.8MMar 19, 2025 to Jan 22, 2026
- Pooled vehicle RAUM · $34.9M to $46.7MMar 19, 2025 to Jan 22, 2026
- RAUM · $252M to $316MMar 19, 2025 to Jan 22, 2026
- Financial planning clients · 0 to 0Jan 13, 2025 to Mar 19, 2025
- Accounts · 1,342 to 1,392Apr 29, 2024 to Jan 13, 2025
- Corporate clients · 28 to 27Apr 29, 2024 to Jan 13, 2025
- HNW clients · 93 to 112Apr 29, 2024 to Jan 13, 2025
- Individual clients · 405 to 401Apr 29, 2024 to Jan 13, 2025
- Insurance-licensed employees · 5 to 6Apr 29, 2024 to Jan 13, 2025
- HQ state · unset to Apr 29, 2024 to Jan 13, 2025
- Discretionary RAUM · $229M to $248MApr 29, 2024 to Jan 13, 2025
- HNW RAUM · $108M to $118MApr 29, 2024 to Jan 13, 2025
- Individual RAUM · $63.5M to $70.7MApr 29, 2024 to Jan 13, 2025
- Non-discretionary RAUM · $4.1M to $4.1MApr 29, 2024 to Jan 13, 2025
- Pooled vehicle RAUM · $34.2M to $34.9MApr 29, 2024 to Jan 13, 2025
- RAUM · $233M to $252MApr 29, 2024 to Jan 13, 2025
- Private funds · 1 to unsetJan 10, 2024 to Apr 29, 2024
- Accounts · 1,203 to 1,342Jul 14, 2023 to Jan 10, 2024
- Corporate clients · 29 to 28Jul 14, 2023 to Jan 10, 2024
- HNW clients · 72 to 93Jul 14, 2023 to Jan 10, 2024
- Individual clients · 379 to 405Jul 14, 2023 to Jan 10, 2024
- Discretionary RAUM · $196M to $229MJul 14, 2023 to Jan 10, 2024
- HNW RAUM · $77.2M to $108MJul 14, 2023 to Jan 10, 2024
- Individual RAUM · $72.5M to $63.5MJul 14, 2023 to Jan 10, 2024
- Non-discretionary RAUM · $4.8M to $4.1MJul 14, 2023 to Jan 10, 2024
- Pooled vehicle RAUM · $27.6M to $34.2MJul 14, 2023 to Jan 10, 2024
- RAUM · $201M to $233MJul 14, 2023 to Jan 10, 2024
- Accounts · 1,141 to 1,203May 18, 2022 to Jan 20, 2023
- Corporate clients · 28 to 29May 18, 2022 to Jan 20, 2023
- HNW clients · 61 to 72May 18, 2022 to Jan 20, 2023
- Individual clients · 410 to 379May 18, 2022 to Jan 20, 2023
- Employees · 7 to 9May 18, 2022 to Jan 20, 2023
Signals
No event on the tape.
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
- g•••••@p•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- a•@p•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- a•••@p•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- d••••@p•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- g•••@p•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- t•••••@p•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- k••••@p•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- j••••••@p•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- r••••••@p•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- n•••••@p•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 604-574-2096reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 877-576-8908reportedpublished by the firm, firm site, Sep 15, 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
- $316Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026