DFX Intelligence

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A•• C•••••• M•••••• U•• I•••

No RAUM reportedSEC-registered· Calgary, Albertawebsite

No RAUM reported, based in Calgary, Alberta.

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

As of 2026-08-18 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Advisors: 0

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-08-18 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 155053 · SEC 801-128511 · 8 filingsShow

CRD 155053SEC 801-128511First filing on the tape Jul 3, 2023, latest Aug 18, 2026SEC status approved since Jan 12, 2024IAPD

RAUM

reported, Item 5.F

Discretionary

n/a

of RAUM

Private clients

n/a

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

17 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

8 filings and snapshots on the tape

Filed figures over time · the tape starts Jul 3, 2023

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$0 as of Aug 18, 2026

Jun 11, 2025$0 then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Aug 18, 2026

Jun 13, 20240 then

Employees (5.A)31 as of Aug 18, 2026

Jun 13, 202421 then

Private funds: no history

RAUM n/a over the last fiscal year

Practice profile

derived from the filing of Aug 18, 2026; every figure names its basis

Archetypes

Broker-dealer affiliated

The rule behind each archetype, and every derived figure1 ruleShow

Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)

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: unknownderivedRAUM over accounts (5.F.2.f)
Discretionary: unknownderivedof RAUM
Institutional: unknownderivedpensions, 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: unknownderivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: otherreportedItem 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

is a broker-dealer (6.A.1)
receives research or other products from a broker-dealer, soft dollars (8.E)

Where the RAUM sits

Form ADV Item 5.D, latest filing

No Item 5.D breakdown on this filing.

The breakdown by client type, and the client countsShow

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: 0reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: n/areported
Class basis: RAUM: 0% private clients, 0% pooled funds, 0% institutions; a related broker-dealer; no related bank; 900% of advisors also broker-dealer representativesderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

E•••••• D••••• L•• · Executive Representative, Ceo, Member Of Board Of Directorscontrol
since 06/2023 · owns less than 5%
P•••• N•••• L••• · Finop/Cfocontrol
since 06/2015 · owns less than 5%
E••••••• L••• M•••• · Chief Compliance Officer
since 07/2024 · owns less than 5%

Entity owners

A•• S••••••••• I••• · Shareholder
direct · owns 75% or more
A•• F•••••••• · Shareholder
indirect · owns 75% or more of A•• S••••••••• Inc.
P••••••• O• A••••••• C••••• · Shareholder
indirect · owns 75% or more of A•• F••••••••

Related persons

Schedule D 7.A

A•• C•••••• M•••••• I•••
broker-dealery

Offices

Schedule D 1.F, the 25 largest

Toronto, Canada3 employees
, 1 employee

What changed

consecutive filings, newest first

Other offices · 2 to 1
Jun 11, 2025 to Jun 16, 2026
Accounts · unset to 0.0
Jul 5, 2024 to Jun 11, 2025
BD registered reps · 11 to 9
Jul 5, 2024 to Jun 11, 2025
Employees · 21 to 31
Jul 5, 2024 to Jun 11, 2025
Financial planning clients · unset to
Jul 5, 2024 to Jun 11, 2025

Full history · 9 changes

HQ state · unset to
Jul 5, 2024 to Jun 11, 2025
Discretionary RAUM · unset to 0.0
Jul 5, 2024 to Jun 11, 2025
Non-discretionary RAUM · unset to 0.0
Jul 5, 2024 to Jun 11, 2025
RAUM · unset to 0.0
Jul 5, 2024 to Jun 11, 2025

Signals

3 dated events

••• Locked
Aug 18, 2026 · ria office closed · derived
••• Locked
Aug 18, 2026 · ria office opened · fact
••• Locked
Jul 3, 2023 · First SEC registration · fact

Across DFX

shared identifiers only, never a name match

A•• C•••••• M•••••• U•• I••• · Independent Sponsors
same CRD · intermediary
A•• C•••••• M•••••• U•• I••• · Venture Capital
same CRD · org

How to reach

public business contact points only, each with its source

Website: ••• Lockedreportedpublic record, Form ADV, Aug 18, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Aug 18, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: No RAUM reportedderiveda rule over Items 5.D and 7.A
RAUM per advisor: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Not yet on record: regulatory AUM, net advisor flow, 12 months, RAUM change, 1 year, private clients.