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

G•••••• I••••••••• C•••••• I•••

Former SEC-registered adviserToronto, Ontario, CRD 153125SEC 801-71414IAPD
Latest filing Jan 25, 2022
First filing on the tape Jan 31, 2012 · 20 filings
RAUM
$127M
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
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$127M as of Jan 25, 2022
Jan 31, 2012$1.1B then
HNW client RAUM$0 as of Jan 25, 2022
Jan 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Jan 25, 2022
Jan 31, 20120 then
Employees (5.A)7 as of Jan 25, 2022
Jan 29, 201312 then
Private funds: no history
RAUM -5.3% over the last fiscal year-19% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 25, 2022; 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
$42.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
95%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
-5.3%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, performance-basedreportedItem 5.E
Advisory activities
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)
  • 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
  • Pension and profit-sharing plans$121M95%
  • Pooled investment vehicles$6.4M5.0%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
2reported
Charitable clients
0reported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
      • A••••••••• J•••• L••••••• M•••• · Chief Financial Officer, Secretary-Treasurer And Managing Partner, Director, Common Sharescontrol
        since 01/1999 · owns 10% to 25%
      • J••••••• K••••• L••• · Chief Compliance Officercontrol
        since 05/2010 · owns less than 5%
      • K•••••••• R•••••• E•••• F••••• · Chairman, Managing Partner, Director, Common Sharescontrol
        since 05/1981 · owns 10% to 25%
      • P••••• M••••••• C•••• · Managing Partner, Director, Common Sharescontrol
        since 04/2000 · owns 10% to 25%
      • P••••••••• C•••••••• · Assistant-Treasurer, Common Sharescontrol
        since 04/2000 · owns less than 5%
      • S••••• D•••••• C••••••••• M• · Managing Partner, Director, Common Sharescontrol
        since 09/1998 · owns 10% to 25%
      • W••••• R•••••• T••••••• · President, Chief Executive Officer, Chief Investment Officer And Managing Partner, Director, Common Sharescontrol
        since 05/1981 · owns 10% to 25%
      • B••••• L••••• R••••••• · Shareholder, Series II Second Preferred Shares
        since 03/2001 · owns less than 5%
      • K••••••• E••••••••• J•••••• · Shareholder, Common Shares
        since 10/2013 · owns less than 5%
      • M•••••••• M•••• G•••••• · Shareholder, Series I Sixth Preferred Shares
        since 10/2013 · owns less than 5%
      • M••••••••• H••••• H•••••• R••• · Shareholder, Common Shares
        since 05/1981 · owns less than 5%
      • T••••••••• D••••• M••••• · Shareholder, Series I Sixth Preferred Shares
        since 10/2013 · owns less than 5%
      Related persons
      Schedule D 7.A
      Advisers that list G•••••• I••••••••• C•••••• I••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Montreal, Quebec, Canada1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 11 to 3
        May 28, 2021 to Jan 25, 2022
      • Advisory employees · 6 to 4
        May 28, 2021 to Jan 25, 2022
      • Pension plan clients · 4 to 2
        May 28, 2021 to Jan 25, 2022
      • Pooled vehicle clients · 6 to 1
        May 28, 2021 to Jan 25, 2022
      • Employees · 11 to 7
        May 28, 2021 to Jan 25, 2022
      • Discretionary RAUM · $134M to $127M
        May 28, 2021 to Jan 25, 2022
      • Pension RAUM · $118M to $121M
        May 28, 2021 to Jan 25, 2022
      • Pooled vehicle RAUM · $16.7M to $6.4M
        May 28, 2021 to Jan 25, 2022
      • RAUM · $134M to $127M
        May 28, 2021 to Jan 25, 2022
      • Accounts · 14 to 11
        Jan 30, 2020 to Jan 27, 2021
      • Corporate clients · 1 to 0
        Jan 30, 2020 to Jan 27, 2021
      • Pension plan clients · 6 to 4
        Jan 30, 2020 to Jan 27, 2021
      • Discretionary RAUM · $282M to $134M
        Jan 30, 2020 to Jan 27, 2021
      • Pension RAUM · $231M to $118M
        Jan 30, 2020 to Jan 27, 2021
      • Pooled vehicle RAUM · $18.7M to $16.7M
        Jan 30, 2020 to Jan 27, 2021
      • RAUM · $282M to $134M
        Jan 30, 2020 to Jan 27, 2021
      • Accounts · 16 to 14
        Jan 28, 2019 to Jan 30, 2020
      • Pension plan clients · 7 to 6
        Jan 28, 2019 to Jan 30, 2020
      • Discretionary RAUM · $240M to $282M
        Jan 28, 2019 to Jan 30, 2020
      • Pension RAUM · $188M to $231M
        Jan 28, 2019 to Jan 30, 2020
      • Pooled vehicle RAUM · $20.0M to $18.7M
        Jan 28, 2019 to Jan 30, 2020
      • RAUM · $240M to $282M
        Jan 28, 2019 to Jan 30, 2020
      • Discretionary RAUM · $271M to $240M
        Jan 29, 2018 to Jan 28, 2019
      • Pension RAUM · $218M to $188M
        Jan 29, 2018 to Jan 28, 2019
      • Pooled vehicle RAUM · $22.0M to $20.0M
        Jan 29, 2018 to Jan 28, 2019
      • RAUM · $271M to $240M
        Jan 29, 2018 to Jan 28, 2019
      • Accounts · 18 to 16
        Jul 21, 2017 to Jan 29, 2018
      • Charity clients · unset to 0.0
        Jul 21, 2017 to Jan 29, 2018
      • Corporate clients · unset to 1.0
        Jul 21, 2017 to Jan 29, 2018
      • HNW clients · unset to 0.0
        Jul 21, 2017 to Jan 29, 2018
      • Individual clients · unset to 0.0
        Jul 21, 2017 to Jan 29, 2018
      • Pension plan clients · unset to 7.0
        Jul 21, 2017 to Jan 29, 2018
      • Pooled vehicle clients · unset to 6.0
        Jul 21, 2017 to Jan 29, 2018
      • Other offices · unset to 1.0
        Jul 21, 2017 to Jan 29, 2018
      • Discretionary RAUM · $291M to $271M
        Jul 21, 2017 to Jan 29, 2018
      • HNW RAUM · unset to 0.0
        Jul 21, 2017 to Jan 29, 2018
      • Individual RAUM · unset to 0.0
        Jul 21, 2017 to Jan 29, 2018
      • Pension RAUM · unset to 218000000.0
        Jul 21, 2017 to Jan 29, 2018
      • Pooled vehicle RAUM · unset to 22000000.0
        Jul 21, 2017 to Jan 29, 2018
      • RAUM · $291M to $271M
        Jul 21, 2017 to Jan 29, 2018
      Signals
      1 dated events
      • G•••••• I••••••••• C•••••• I••• reported RAUM $134.4M, down 52% from $282.1M (2020-01-30 to 2021-01-27)
        Jan 27, 2021 · 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