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

I•••••• I••••••••• M••••••••• I•••

Former SEC-registered adviserMontreal, CRD 150564SEC 801-79155IAPD
Latest filing Jan 29, 2024
First filing on the tape Jan 28, 2014 · 21 filings
RAUM
$2.6B
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
64
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$2.6B as of Jan 29, 2024
Jan 28, 2015$2.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 29, 2024
Jan 28, 20150 then
Employees (5.A)64 as of Jan 29, 2024
Jan 28, 201534 then
Private funds1 as of Jan 28, 2021
Jan 24, 20201 then
RAUM +29% over the last fiscal year+39% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 29, 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
unknownderivedHNW RAUM over HNW clients
Average account
$78.4MderivedRAUM 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
+29%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, fixed feesreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 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
  • Pooled investment vehicles$958M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
33reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      H•••••••• F••• L•no longer reportedHedge Fund$459M2Jan 24, 2020
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••••• H•••••• N••••••• S•••• · Chief Investment Officercontrol
        since 12/2017 · owns less than 5%
      • K••••••• J•••••• D•••• · Presidentcontrol
        since 12/2022 · owns less than 5%
      • L••••••••• A••••••• · Chief Compliance Officercontrol
        since 10/2016 · owns less than 5%
      • L•••••• A•••••• S•••• · Chief Operating Officercontrol
        since 12/2022 · owns less than 5%
      • M••••• E•••••• · G•••••• Counselcontrol
        since 11/2016 · owns less than 5%
      • R•••••• F••••••• · Chief Executive Officercontrol
        since 02/2013 · owns less than 5%
      • R•••••• F••••••• · One Of The Owners Of 1••••••• C••••• I•••control
        since 07/2017 · owns 50% to 75% of 1••••••• C••••• I•••
      • B••••• A•••••• A••• · Director
        since 11/2019 · owns less than 5%
      • B••••••••• C••••••••• M••••••• · Director
        since 05/2018 · owns less than 5%
      • B•••••••• S•••••• · Director
        since 08/2022 · owns less than 5%
      • B•••••• J•••• M•••••• · Director
        since 03/2020 · owns less than 5%
      • D••••••••• A••••• · Director
        since 04/2023 · owns less than 5%
      • F•••••••• A••• · Director
        since 08/2022 · owns less than 5%
      • H••••• A•••••• B•••••• · Director
        since 12/2022 · owns less than 5%
      • M••••••••• J•••• M•••• · Director
        since 08/2022 · owns less than 5%
      • S•••••• P•••••• N•• · Majority Owner Of W••• S•••••••• P••••••••• F••• L•••
        since 08/2022 · owns 75% or more of W••••• G•••• I•••
      Entity owners
      • 1••••••• C••••• I••• · 30% Owner Of I•••••• I••••••••• M••••••••• I•••
        direct · owns 25% to 50%
      • C•• I••••••••• I••• · 33% Owner Of I•••••• I••••••••• M••••••••• I•••
        direct · owns 25% to 50%
      • W••• S•••••••• P••••••••• F••• L••• · 12% Owner Of I•••••• I••••••••• M••••••••• I•••
        direct · owns 10% to 25%
      • W••••• G•••• I••• · Majority Owner Of W••• S•••••••• P••••••••• F••• L•••
        indirect · owns 75% or more of W••• S•••••••• P••••••••• F••• L•••
      • W••• G•••••• P••••••• I••• · G•••••• Partners Of W••• S•••••••• P••••••••• F••• L•••
        indirect · owns F of W••• S•••••••• P••••••••• F••• L•••
      Related persons
      Schedule D 7.A
      Advisers that list I•••••• I••••••••• M••••••••• I••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Pooled vehicle clients · 21 to 22
        Jan 27, 2023 to Jan 29, 2024
      • Employees · 55 to 64
        Jan 27, 2023 to Jan 29, 2024
      • Discretionary RAUM · $2.0B to $2.6B
        Jan 27, 2023 to Jan 29, 2024
      • Pooled vehicle RAUM · $598M to $958M
        Jan 27, 2023 to Jan 29, 2024
      • RAUM · $2.0B to $2.6B
        Jan 27, 2023 to Jan 29, 2024
      • Accounts · 22 to 33
        Aug 30, 2022 to Jan 27, 2023
      • Pooled vehicle clients · 19 to 21
        Aug 30, 2022 to Jan 27, 2023
      • Employees · 51 to 55
        Aug 30, 2022 to Jan 27, 2023
      • Discretionary RAUM · $1.1B to $2.0B
        Aug 30, 2022 to Jan 27, 2023
      • Pooled vehicle RAUM · $486M to $598M
        Aug 30, 2022 to Jan 27, 2023
      • RAUM · $1.1B to $2.0B
        Aug 30, 2022 to Jan 27, 2023
      • Related broker-dealer · false to true
        Aug 30, 2022 to Jan 27, 2023
      • Accounts · 16 to 22
        Oct 26, 2021 to Jan 28, 2022
      • Advisory employees · 5 to 6
        Oct 26, 2021 to Jan 28, 2022
      • Advisory activities · 2 to 3
        Oct 26, 2021 to Jan 28, 2022
      • Pooled vehicle clients · 16 to 19
        Oct 26, 2021 to Jan 28, 2022
      • Employees · 50 to 51
        Oct 26, 2021 to Jan 28, 2022
      • Private funds · 1 to unset
        Oct 26, 2021 to Jan 28, 2022
      • Discretionary RAUM · $974M to $1.1B
        Oct 26, 2021 to Jan 28, 2022
      • Pooled vehicle RAUM · $974M to $486M
        Oct 26, 2021 to Jan 28, 2022
      • RAUM · $974M to $1.1B
        Oct 26, 2021 to Jan 28, 2022
      • Accounts · 15 to 16
        May 14, 2020 to Jan 28, 2021
      • Advisory employees · 6 to 5
        May 14, 2020 to Jan 28, 2021
      • Pooled vehicle clients · 15 to 16
        May 14, 2020 to Jan 28, 2021
      • Employees · 49 to 50
        May 14, 2020 to Jan 28, 2021
      • Discretionary RAUM · $676M to $974M
        May 14, 2020 to Jan 28, 2021
      • Non-discretionary RAUM · $51.8M to $0
        May 14, 2020 to Jan 28, 2021
      • Pooled vehicle RAUM · $727M to $974M
        May 14, 2020 to Jan 28, 2021
      • RAUM · $727M to $974M
        May 14, 2020 to Jan 28, 2021
      • Accounts · 13 to 15
        Jan 29, 2019 to Jan 24, 2020
      • Advisory employees · 10 to 6
        Jan 29, 2019 to Jan 24, 2020
      • Pooled vehicle clients · 13 to 15
        Jan 29, 2019 to Jan 24, 2020
      • Employees · 48 to 49
        Jan 29, 2019 to Jan 24, 2020
      • Private funds · unset to 1
        Jan 29, 2019 to Jan 24, 2020
      • Discretionary RAUM · $195M to $676M
        Jan 29, 2019 to Jan 24, 2020
      • Non-discretionary RAUM · $43.0M to $51.8M
        Jan 29, 2019 to Jan 24, 2020
      • Pooled vehicle RAUM · $238M to $727M
        Jan 29, 2019 to Jan 24, 2020
      • RAUM · $238M to $727M
        Jan 29, 2019 to Jan 24, 2020
      • Accounts · 3 to 13
        May 31, 2018 to Jan 29, 2019
      • Advisory employees · 5 to 10
        May 31, 2018 to Jan 29, 2019
      Signals
      12 dated events
      • I•••••• I••••••••• M••••••••• I••• reported RAUM $2.6B, up 29% from $2.0B (2023-01-27 to 2024-01-29)
        Jan 29, 2024 · RAUM change · derived
      • I•••••• I••••••••• M••••••••• I••• reported RAUM $2.0B, up 85% from $1.1B (2022-08-30 to 2023-01-27)
        Jan 27, 2023 · RAUM change · derived
      • Jean Baram (Chief Operating Officer) no longer on Schedule A of I•••••• I••••••••• M••••••••• I••• (listed 2022-08-30, absent 2023-01-27)
        Jan 27, 2023 · Control person left · inference
      • David Joshua Kestler (President) appeared on Schedule A of I•••••• I••••••••• M••••••••• I•••
        Jan 27, 2023 · Control person joined · fact
      • Scott Andrew Lapkin (Chief Operating Officer) appeared on Schedule A of I•••••• I••••••••• M••••••••• I•••
        Jan 27, 2023 · Control person joined · fact
      • I•••••• I••••••••• M••••••••• I••• reported RAUM $973.7M, up 34% from $727.3M (2020-05-14 to 2021-01-28)
        Jan 28, 2021 · RAUM change · derived
      • I•••••• I••••••••• M••••••••• I••• reported RAUM $727.3M, up 205% from $238.3M (2019-01-29 to 2020-01-24)
        Jan 24, 2020 · RAUM change · derived
      • Benjamin Stephane Arnaud Schwebel (Director) no longer on Schedule A of I•••••• I••••••••• M••••••••• I••• (listed 2019-01-29, absent 2020-01-24)
        Jan 24, 2020 · Control person left · inference
      • Stephane Leveille (Director) no longer on Schedule A of I•••••• I••••••••• M••••••••• I••• (listed 2019-01-29, absent 2020-01-24)
        Jan 24, 2020 · Control person left · inference
      • S•••• N•••••• H••••• B••••••• (Chief Investment & Risk Officer) appeared on Schedule A of I•••••• I••••••••• M••••••••• I•••
        Jan 29, 2019 · Control person joined · fact
      • I•••••• I••••••••• M••••••••• I••• reported RAUM $309.0M, down 94% from $4.8B (2017-01-27 to 2018-01-26)
        Jan 26, 2018 · RAUM change · derived
      • I•••••• I••••••••• M••••••••• I••• filed its initial SEC registration (Form ADV)
        Jan 28, 2014 · First SEC registration · 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