DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

N•• G•••••• I••••••••• C•••••• L••••••

Former SEC-registered adviserFormer SEC adviser· Toronto, On

Former SEC-registered adviser, based in Toronto, On, reporting $536M of regulatory assets.

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

Last reported RAUM
$536M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-50%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
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 154825 · SEC 801-72106 · 4 filingsShow
CRD 154825SEC 801-72106Legal name G•••••• I••••••••• C•••••• I•••First filing on the tape Mar 28, 2012, latest Apr 2, 2014IAPD
RAUM
$536M
reported, Item 5.F
Discretionary
41%
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
11
11 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$536M as of Apr 2, 2014
Mar 28, 2012$1.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 2, 2014
Mar 28, 20120 then
Employees (5.A)11 as of Apr 2, 2014
Mar 20, 201310 then
Private funds: no history
RAUM -50% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 2, 2014; 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
$59.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
41%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
-50%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
otherreportedItem 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
9reported
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
      • G••••••• N•••••• E••••• · Chief Compliance Officer, Director, President, Ceo, Chairmancontrol
        since 01/2007 · owns less than 5%
      • J•••• W••••••• M••••• · Director, Vice Presidentcontrol
        since 12/2008 · owns less than 5%
      • P•••••• L••••• O• · Director, Vice President, Cfocontrol
        since 11/2009 · owns less than 5%
      • F••• S•••• · Vice President, Legal
        since 10/2011 · owns less than 5%
      Entity owners
      • D••••• C••••••••• · Sole Shareholder
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • D••••• G•••••• I•••••••• A••••• L•••
        real estaten
      • D••••• S••••••••• E••••• L•• •••••••• D••••• S••••••••• E••••• L•••••••
        broker-dealern
      • D••••• S••••••••• I•••
        broker-dealern
      • D••••• S••••••••• L•••
        broker-dealerinvestment adviserpooled vehicle sponsorcustodiann
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 5 to 11
        Mar 20, 2013 to Apr 2, 2014
      • Employees · 10 to 11
        Mar 20, 2013 to Apr 2, 2014
      • Discretionary RAUM · $83.5M to $220M
        Mar 20, 2013 to Apr 2, 2014
      • Non-discretionary RAUM · $981M to $315M
        Mar 20, 2013 to Apr 2, 2014
      • RAUM · $1.1B to $536M
        Mar 20, 2013 to Apr 2, 2014
      • Accounts · 10 to 9
        Jul 11, 2012 to Mar 20, 2013
      • Advisory employees · unset to 5.0
        Jul 11, 2012 to Mar 20, 2013
      • Employees · unset to 10.0
        Jul 11, 2012 to Mar 20, 2013
      • Legal name · N•• G•••••• I••••••••• C•••••• L•••••• to G•••••• I••••••••• C•••••• I•••
        Jul 11, 2012 to Mar 20, 2013
      • Discretionary RAUM · $22.0M to $83.5M
        Jul 11, 2012 to Mar 20, 2013
      • Non-discretionary RAUM · $1.3B to $981M
        Jul 11, 2012 to Mar 20, 2013
      • RAUM · $1.3B to $1.1B
        Jul 11, 2012 to Mar 20, 2013
      • Related adviser · false to true
        Jul 11, 2012 to Mar 20, 2013
      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