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Former SEC-registered adviserFormer SEC adviser· Barrie, Ontario

Former SEC-registered adviser, based in Barrie, Ontario, reporting $93.5M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$93.5M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-15%
Form ADV, consecutive annual filings
Private clients
100% of RAUM, $93.5M
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 152584 · SEC 801-70999 · 16 filingsShow
CRD 152584SEC 801-70999First filing on the tape Nov 11, 2011, latest Nov 1, 2018IAPD
RAUM
$93.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$93.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$93.5M as of Mar 5, 2018
Feb 6, 2012$10.0M then
HNW client RAUM: $90.0M
State-registered IARs (5.B.3)2 as of Mar 5, 2018
Feb 6, 20120 then
Employees (5.A)5 as of Mar 5, 2018
Feb 4, 20135 then
Private funds: no history
RAUM -15% over the last fiscal year-5.3% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Nov 1, 2018; every figure names its basis
RAUM per advisor
$46.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
66derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$833,333derivedHNW RAUM over HNW clients
Average account
$336,331derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-15%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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
  • High-net-worth individuals$90.0M96%
  • Individuals$3.5M3.7%
Individual clients
23reported
HNW clients
108reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
278reported
Financial planning clients
51-100reported
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
      • P•••• D•••••••• K••••••• · President, Chief Compliance Officercontrol
        since 03/2003 · owns 50% to 75%
      • V••••••• C•••• L•••• · Vice Presidentcontrol
        since 03/2003 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 309 to 278
        Nov 7, 2017 to Mar 5, 2018
      • Charity clients · unset to 0.0
        Nov 7, 2017 to Mar 5, 2018
      • Corporate clients · unset to 0.0
        Nov 7, 2017 to Mar 5, 2018
      • HNW clients · unset to 108.0
        Nov 7, 2017 to Mar 5, 2018
      • Individual clients · unset to 23.0
        Nov 7, 2017 to Mar 5, 2018
      • Pension plan clients · unset to 0.0
        Nov 7, 2017 to Mar 5, 2018
      • Pooled vehicle clients · unset to 0.0
        Nov 7, 2017 to Mar 5, 2018
      • Discretionary RAUM · $110M to $93.5M
        Nov 7, 2017 to Mar 5, 2018
      • HNW RAUM · unset to 90000000.0
        Nov 7, 2017 to Mar 5, 2018
      • Individual RAUM · unset to 3500000.0
        Nov 7, 2017 to Mar 5, 2018
      • Pension RAUM · unset to 0.0
        Nov 7, 2017 to Mar 5, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Nov 7, 2017 to Mar 5, 2018
      • RAUM · $110M to $93.5M
        Nov 7, 2017 to Mar 5, 2018
      • Other offices · unset to 0.0
        Feb 1, 2017 to Nov 7, 2017
      • Accounts · 280 to 309
        Oct 18, 2016 to Feb 1, 2017
      • Advisory activities · 1 to 2
        Oct 18, 2016 to Feb 1, 2017
      • Financial planning clients · 0 to 51-100
        Oct 18, 2016 to Feb 1, 2017
      • Accounts · 290 to 280
        Feb 4, 2015 to Feb 3, 2016
      • Accounts · 280 to 290
        Mar 20, 2014 to Feb 4, 2015
      • Discretionary RAUM · $115M to $110M
        Mar 20, 2014 to Feb 4, 2015
      • RAUM · $115M to $110M
        Mar 20, 2014 to Feb 4, 2015
      • Accounts · 269 to 280
        Oct 30, 2013 to Feb 13, 2014
      • Discretionary RAUM · $140M to $115M
        Oct 30, 2013 to Feb 13, 2014
      • RAUM · $140M to $115M
        Oct 30, 2013 to Feb 13, 2014
      • Accounts · 11 to 269
        Oct 22, 2012 to Feb 4, 2013
      • Advisory employees · unset to 2.0
        Oct 22, 2012 to Feb 4, 2013
      • Employees · unset to 5.0
        Oct 22, 2012 to Feb 4, 2013
      • State-registered IARs · 0 to 2
        Oct 22, 2012 to Feb 4, 2013
      • Discretionary RAUM · $10.0M to $140M
        Oct 22, 2012 to Feb 4, 2013
      • RAUM · $10.0M to $140M
        Oct 22, 2012 to Feb 4, 2013
      • Accounts · 315 to 11
        Nov 14, 2011 to Feb 6, 2012
      • Insurance-licensed employees · unset to 0.0
        Nov 14, 2011 to Feb 6, 2012
      • Discretionary RAUM · $134M to $10.0M
        Nov 14, 2011 to Feb 6, 2012
      • RAUM · $134M to $10.0M
        Nov 14, 2011 to Feb 6, 2012
      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.
      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