DFX Intelligence
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S•••••••• A•••• M••••••••• I•••
Independent wealth manager, based in Calgary, reporting $331M of regulatory assets.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $331M
- Advisors
- 0
- Net advisor flow, 12 months
- Not established
- RAUM change, last fiscal year
- +31%
- Private clients
- 88% of RAUM, $290M
Form ADV
IAPD
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $252MRAUM now $331M
- Contact points 7
Every filed figure, and the identifiersCRD 152742 · SEC 801-71037 · 19 filingsShowHide
CRD 152742SEC 801-71037First filing on the tape May 4, 2012, latest Jun 22, 2026SEC status approved since Jan 27, 2010IAPD
RAUM
$331M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
88%
$290M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$331M as of Jun 22, 2026
May 4, 2012$206M then
HNW client RAUM$290M as of Jun 22, 2026
Jul 30, 2018$182M then
State-registered IARs (5.B.3)3 as of Jun 22, 2026
May 4, 20120 then
Employees (5.A)10 as of Jun 22, 2026
Jun 13, 20136 then
Private funds: no history
RAUM +31% over the last fiscal year+6.5% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jun 22, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $110MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $2.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 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
- portfolio management for individuals, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$290M89%
- Charitable organizations$22.9M7.0%
- Corporations and businesses$14.6M4.4%
- Individual clients
- n/areported
- HNW clients
- 106reported
- Pension plan clients
- n/areported
- Charitable clients
- 3reported
- Accounts
- 129reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.88 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=5.0derived
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••••• B••••• D••••• · Presidentcontrolsince 08/2013 · owns 25% to 50%
- W••••••• S•••••• E•••••••• · Ceo & Ccocontrolsince 06/2004 · owns 50% to 75%
- D••••• N••••• N••• · Portfolio Managersince 04/2018 · owns 5% to 10%
- O•••••••• K••••• L•••• · Cfosince 05/2022 · owns less than 5%
- S•••• C••••• · Operational And Financial Associatesince 09/2007 · owns less than 5%
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 · 136 to 129Jun 27, 2025 to Jun 22, 2026
- HNW clients · 113 to 106Jun 27, 2025 to Jun 22, 2026
- Discretionary RAUM · $277M to $330MJun 27, 2025 to Jun 22, 2026
- HNW RAUM · $240M to $290MJun 27, 2025 to Jun 22, 2026
- Non-discretionary RAUM · $375,641 to $428,966Jun 27, 2025 to Jun 22, 2026
- RAUM · $278M to $331MJun 27, 2025 to Jun 22, 2026
- Accounts · 147 to 136Aug 28, 2024 to Jun 27, 2025
- BD registered reps · 6 to 5Aug 28, 2024 to Jun 27, 2025
- Charity clients · 5 to 3Aug 28, 2024 to Jun 27, 2025
- Corporate clients · 16 to 15Aug 28, 2024 to Jun 27, 2025
- HNW clients · 121 to 113Aug 28, 2024 to Jun 27, 2025
- Financial planning clients · unset to Aug 28, 2024 to Jun 27, 2025
- HQ state · unset to Aug 28, 2024 to Jun 27, 2025
- Discretionary RAUM · $290M to $277MAug 28, 2024 to Jun 27, 2025
- HNW RAUM · $249M to $240MAug 28, 2024 to Jun 27, 2025
- Non-discretionary RAUM · $739,349 to $375,641Aug 28, 2024 to Jun 27, 2025
- RAUM · $291M to $278MAug 28, 2024 to Jun 27, 2025
- Accounts · 148 to 147May 30, 2023 to Aug 28, 2024
- BD registered reps · 5 to 6May 30, 2023 to Aug 28, 2024
- Corporate clients · 14 to 16May 30, 2023 to Aug 28, 2024
- HNW clients · 124 to 121May 30, 2023 to Aug 28, 2024
- Employees · 9 to 10May 30, 2023 to Aug 28, 2024
- Discretionary RAUM · $252M to $290MMay 30, 2023 to Aug 28, 2024
- HNW RAUM · $214M to $249MMay 30, 2023 to Aug 28, 2024
- Non-discretionary RAUM · $931,095 to $739,349May 30, 2023 to Aug 28, 2024
- RAUM · $252M to $291MMay 30, 2023 to Aug 28, 2024
- Accounts · 139 to 148Mar 27, 2023 to May 30, 2023
- BD registered reps · 6 to 5Mar 27, 2023 to May 30, 2023
- HNW clients · 113 to 124Mar 27, 2023 to May 30, 2023
- Discretionary RAUM · $285M to $252MMar 27, 2023 to May 30, 2023
- HNW RAUM · $235M to $214MMar 27, 2023 to May 30, 2023
- Non-discretionary RAUM · $945,000 to $931,095Mar 27, 2023 to May 30, 2023
- RAUM · $286M to $252MMar 27, 2023 to May 30, 2023
- Accounts · 148 to 139Oct 26, 2021 to Jun 13, 2022
- Charity clients · 6 to 5Oct 26, 2021 to Jun 13, 2022
- Corporate clients · 15 to 14Oct 26, 2021 to Jun 13, 2022
- Employees · 10 to 9Oct 26, 2021 to Jun 13, 2022
- Discretionary RAUM · $273M to $285MOct 26, 2021 to Jun 13, 2022
- HNW RAUM · $223M to $235MOct 26, 2021 to Jun 13, 2022
- Non-discretionary RAUM · $617,000 to $945,000Oct 26, 2021 to Jun 13, 2022
Signals
2 dated events
- ••• LockedJun 22, 2026 · ria principal change · derived
- ••• LockedJun 22, 2026 · ria principal change · fact
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
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Jun 22, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Jun 22, 2026
- Contact form
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026