DFX Intelligence

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P••••••• M••••••••• L•••

Other adviserSEC-registered· Montreal, Quebecwebsite

Other adviser, based in Montreal, Quebec, reporting $1.9B of regulatory assets.

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

As of 2026-03-05 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $1.9B
Advisors: 0
RAUM change, 1 year: +14%
Private clients: 11%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-03-05 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 5 Mar 2026, RAUM $1.67B to $1.91B (+14.4%) on the Form ADV filed 5 Mar 2026.

Every filed figure, and the identifiersCRD 155405 · SEC 801-72181 · 20 filingsShow

CRD 155405SEC 801-72181First filing on the tape Mar 19, 2012, latest Mar 5, 2026SEC status approved since Mar 4, 2011IAPD

RAUM

$1.9B

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

11%

$217M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

15 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

20 filings and snapshots on the tape

RAUM +1.7% a year over three years · the tape starts Mar 19, 2012

Peer group: Other advisers, $1B to $5B, 248 firms

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

RAUM$1.9B as of Mar 5, 2026

Mar 19, 2012$1.3B then

HNW client RAUM$217M as of Mar 5, 2026

Feb 27, 2018$110M then

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

Mar 19, 20120 then

Employees (5.A)25 as of Mar 5, 2026

Mar 13, 201316 then

Private funds: no history

RAUM +14% over the last fiscal year+1.7% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 5, 2026; every figure names its basis

The rule behind each archetype, and every derived figureShow

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: $1.4MderivedHNW RAUM over HNW clients
Average account: $11.0MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 28%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: +14%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 individuals, portfolio management for businesses and institutionsreportedItem 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

60% pooled investment vehicles, 28% pension and profit-sharing plans, and 1 other client type

The breakdown by client type, and the client counts3 client typesShow

Pooled investment vehicles$1.2B60%
Pension and profit-sharing plans$537M28%
High-net-worth individuals$217M11%

Individual clients: n/areported
HNW clients: 150reported
Pension plan clients: 4reported
Charitable clients: n/areported
Accounts: 173reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, performancereported
Class basis: RAUM: 11% private clients, 60% pooled funds, 28% institutions; a related broker-dealer; no related bankderived

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

A•••••• A••••• I•• · Shareholder, Vice-Chair, Directorcontrol
since 12/1989 · owns 10% to 25%
B••••••••• J••••• M•••••• · Shareholder, Vice President And Directorcontrol
since 01/2014 · owns 10% to 25%
C•••••••• A••••••• M•••••• · Shareholder, Chief Financial Officercontrol
since 07/2023 · owns less than 5%
C••••••••• N••••••• G••••• · Shareholder, President, Ceo & Directorcontrol
since 01/2001 · owns 10% to 25%
H••• S•••••• · Shareholder And Vice Presidentcontrol
since 01/2014 · owns 10% to 25%

All 10 control persons

P•••••••• D••••••• M•••••• · Shareholder And Vice Presidentcontrol
since 01/2014 · owns 5% to 10%
T•••••• A••••• S•••• · Shareholder, Vice-Chairmancontrol
since 09/1968 · owns less than 5%
T•••••• C•••••••• S••••• · Shareholder, Chief Compliance Officercontrol
since 01/2024 · owns less than 5%
T•••• J••••••• S•••••• · Shareholder, Chairman And Directorcontrol
since 12/1989 · owns 5% to 10%
G••••••••• A•••••• C•••••••• · Shareholder, Vice President And Director
since 01/2017 · owns 10% to 25%

Ownership changes

11 Schedule A changes between consecutive filings, latest first

Added A•••••• C••••••• M•••••• · Shareholder, Chief Financial Officer control
filing of Mar 8, 2024, against Feb 23, 2023 · owns under 5%
Added C••••••• T••••• S••••• · Shareholder, Chief Compliance Officer control
filing of Mar 8, 2024, against Feb 23, 2023 · owns under 5%
Removed M•••••• M••••••••• P•••••• · Shareholder, Chief Financial Officer, Chief Compliance Officer control
filing of Mar 8, 2024, against Feb 23, 2023 · owns under 5%
Removed D•••• W••••••• W•••••• L••••••••• · Chief Risk Officer control
filing of Feb 23, 2023, against Feb 24, 2022 · owns under 5%
Added A••••• G••••••••• C• · Portfolio Manager
filing of Feb 24, 2022, against Feb 8, 2021 · owns 5 to 10%

All 11 changes

Added D•••• W••••••• W•••••• L••••••••• · Chief Risk Officer control
filing of Mar 16, 2017, against Mar 17, 2016 · owns under 5%
Removed I•• S••••• A•••••••• · Shareholder, Vice-Chairman and Director control
filing of Mar 16, 2017, against Mar 17, 2016 · owns under 5%
Removed M•••••• S•••••• C••••• · Shareholder, Vice-President and Director control
filing of Jun 9, 2015, against Mar 19, 2015 · owns 10 to 25%
Added J•••• B•••••••• M•••••• · Portfolio Manager control
filing of Mar 31, 2014, against Jun 25, 2013 · owns 5 to 10%
Added S•••••• H•• · Portfolio Manager control
filing of Mar 31, 2014, against Jun 25, 2013 · owns 5 to 10%
Added D•••••• P••••••• M• · Portfolio Manager control
filing of Mar 31, 2014, against Jun 25, 2013 · owns 5 to 10%

Who runs the funds

related persons named most often on the Form D filings of the firm's funds

No Form D related person is on record for this firm's funds.

13F holdings

quarter ended Jun 30, 2026, filed Jul 22, 2026

Reported value: $637M-7.8% on Mar 31, 2026 ($691M)reportedsec.gov
Positions: 78 in 76 issuers-19.6% on the quarterreported
Concentration: top 10 issuers 49%, largest 6.1%derivedlargest: Everpure Inc
Filed as: P••••••• M••••••••• L••reportedmatched by the 13F filer reports this CRD

Related persons

Schedule D 7.A

P••••••• P•••••• W••••• M••••••••• L•• •••••••• G•• A•••• M••••••••• I••••
broker-dealery

Offices

Schedule D 1.F, the 25 largest

, 1 employee

What changed

consecutive filings, newest first

Accounts · 142 to 173
May 23, 2025 to Mar 5, 2026
Advisory employees · 14 to 15
May 23, 2025 to Mar 5, 2026
HNW clients · 122 to 150
May 23, 2025 to Mar 5, 2026
Pooled vehicle clients · 16 to 19
May 23, 2025 to Mar 5, 2026
Employees · 22 to 25
May 23, 2025 to Mar 5, 2026

Full history · 80 changes

Discretionary RAUM · $1.7B to $1.9B
May 23, 2025 to Mar 5, 2026
HNW RAUM · $185M to $217M
May 23, 2025 to Mar 5, 2026
Pension RAUM · $398M to $537M
May 23, 2025 to Mar 5, 2026
Pooled vehicle RAUM · $1.1B to $1.2B
May 23, 2025 to Mar 5, 2026
RAUM · $1.7B to $1.9B
May 23, 2025 to Mar 5, 2026
Financial planning clients · unset to
Feb 25, 2025 to May 23, 2025
Accounts · 112 to 142
Mar 8, 2024 to Feb 25, 2025
HNW clients · 94 to 122
Mar 8, 2024 to Feb 25, 2025
Pension plan clients · 5 to 4
Mar 8, 2024 to Feb 25, 2025
Pooled vehicle clients · 13 to 16
Mar 8, 2024 to Feb 25, 2025
Employees · 23 to 22
Mar 8, 2024 to Feb 25, 2025
HQ state · unset to
Mar 8, 2024 to Feb 25, 2025
Discretionary RAUM · $1.6B to $1.7B
Mar 8, 2024 to Feb 25, 2025
HNW RAUM · $184M to $185M
Mar 8, 2024 to Feb 25, 2025
Pension RAUM · $398M to $398M
Mar 8, 2024 to Feb 25, 2025
Pooled vehicle RAUM · $1.0B to $1.1B
Mar 8, 2024 to Feb 25, 2025
RAUM · $1.6B to $1.7B
Mar 8, 2024 to Feb 25, 2025
Accounts · 108 to 112
Feb 23, 2023 to Mar 8, 2024
HNW clients · 88 to 94
Feb 23, 2023 to Mar 8, 2024
Pension plan clients · 7 to 5
Feb 23, 2023 to Mar 8, 2024
Employees · 25 to 23
Feb 23, 2023 to Mar 8, 2024
Discretionary RAUM · $1.8B to $1.6B
Feb 23, 2023 to Mar 8, 2024
HNW RAUM · $168M to $184M
Feb 23, 2023 to Mar 8, 2024
Pension RAUM · $619M to $398M
Feb 23, 2023 to Mar 8, 2024
Pooled vehicle RAUM · $1.0B to $1.0B
Feb 23, 2023 to Mar 8, 2024
RAUM · $1.8B to $1.6B
Feb 23, 2023 to Mar 8, 2024
Accounts · 99 to 108
Feb 24, 2022 to Feb 23, 2023
HNW clients · 80 to 88
Feb 24, 2022 to Feb 23, 2023
Pooled vehicle clients · 12 to 13
Feb 24, 2022 to Feb 23, 2023
Discretionary RAUM · $2.4B to $1.8B
Feb 24, 2022 to Feb 23, 2023
HNW RAUM · $178M to $168M
Feb 24, 2022 to Feb 23, 2023
Pension RAUM · $893M to $619M
Feb 24, 2022 to Feb 23, 2023
Pooled vehicle RAUM · $1.4B to $1.0B
Feb 24, 2022 to Feb 23, 2023
RAUM · $2.4B to $1.8B
Feb 24, 2022 to Feb 23, 2023
Accounts · 62 to 99
Feb 8, 2021 to Feb 24, 2022
Advisory employees · 13 to 14
Feb 8, 2021 to Feb 24, 2022
HNW clients · 43 to 80
Feb 8, 2021 to Feb 24, 2022
Pension plan clients · 8 to 7
Feb 8, 2021 to Feb 24, 2022
Pooled vehicle clients · 11 to 12
Feb 8, 2021 to Feb 24, 2022
Employees · 22 to 25
Feb 8, 2021 to Feb 24, 2022
Discretionary RAUM · $2.2B to $2.4B
Feb 8, 2021 to Feb 24, 2022
HNW RAUM · $141M to $178M
Feb 8, 2021 to Feb 24, 2022
Pension RAUM · $1.0B to $893M
Feb 8, 2021 to Feb 24, 2022
Pooled vehicle RAUM · $1.0B to $1.4B
Feb 8, 2021 to Feb 24, 2022
RAUM · $2.2B to $2.4B
Feb 8, 2021 to Feb 24, 2022
Accounts · 29 to 62
Jun 29, 2020 to Feb 8, 2021
HNW clients · 12 to 43
Jun 29, 2020 to Feb 8, 2021
Pension plan clients · 6 to 8
Jun 29, 2020 to Feb 8, 2021
Employees · 21 to 22
Jun 29, 2020 to Feb 8, 2021
Discretionary RAUM · $1.7B to $2.2B
Jun 29, 2020 to Feb 8, 2021
HNW RAUM · $102M to $141M
Jun 29, 2020 to Feb 8, 2021
Pension RAUM · $752M to $1.0B
Jun 29, 2020 to Feb 8, 2021
Pooled vehicle RAUM · $844M to $1.0B
Jun 29, 2020 to Feb 8, 2021
RAUM · $1.7B to $2.2B
Jun 29, 2020 to Feb 8, 2021
Accounts · 27 to 29
Feb 26, 2019 to Feb 11, 2020
Advisory employees · 11 to 13
Feb 26, 2019 to Feb 11, 2020
HNW clients · 9 to 12
Feb 26, 2019 to Feb 11, 2020
Pension plan clients · 8 to 6
Feb 26, 2019 to Feb 11, 2020
Pooled vehicle clients · 10 to 11
Feb 26, 2019 to Feb 11, 2020
Employees · 20 to 21
Feb 26, 2019 to Feb 11, 2020
Discretionary RAUM · $1.4B to $1.7B
Feb 26, 2019 to Feb 11, 2020
HNW RAUM · $89.6M to $102M
Feb 26, 2019 to Feb 11, 2020
Pension RAUM · $626M to $752M
Feb 26, 2019 to Feb 11, 2020
Pooled vehicle RAUM · $702M to $844M
Feb 26, 2019 to Feb 11, 2020
RAUM · $1.4B to $1.7B
Feb 26, 2019 to Feb 11, 2020
Accounts · 25 to 27
Feb 27, 2018 to Feb 26, 2019
Pooled vehicle clients · 8 to 10
Feb 27, 2018 to Feb 26, 2019
Employees · 19 to 20
Feb 27, 2018 to Feb 26, 2019
Discretionary RAUM · $1.9B to $1.4B
Feb 27, 2018 to Feb 26, 2019
HNW RAUM · $110M to $89.6M
Feb 27, 2018 to Feb 26, 2019
Pension RAUM · $893M to $626M
Feb 27, 2018 to Feb 26, 2019
Pooled vehicle RAUM · $902M to $702M
Feb 27, 2018 to Feb 26, 2019
RAUM · $1.9B to $1.4B
Feb 27, 2018 to Feb 26, 2019
Accounts · 31 to 25
Mar 16, 2017 to Feb 27, 2018
HNW clients · unset to 9.0
Mar 16, 2017 to Feb 27, 2018

Signals

9 dated events

••• Locked
Mar 5, 2026 · ria ownership band change · fact
••• Locked
Mar 5, 2026 · ria ownership band change · fact
••• Locked
Mar 8, 2024 · Control person left · inference
••• Locked
Mar 8, 2024 · Control person joined · fact
••• Locked
Mar 8, 2024 · Control person joined · fact

Full timeline · 9 events

••• Locked
Feb 23, 2023 · RAUM change · derived
••• Locked
Feb 23, 2023 · Control person left · inference
••• Locked
Feb 8, 2021 · RAUM change · derived
••• Locked
Feb 26, 2019 · 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.

Web presence

addresses the firm lists on IAPD today, and the ones its Form ADV filings listed before

Website (1), LinkedIn company page (1), Facebook (1), X (Twitter) (1), Instagram (1), YouTube (1) · the addresses open with an account

4 earlier addresses on Form ADV filings, the earliest seen Jun 25, 2013

How to reach

public business contact points only, each with its source

Website: ••• Lockedreportedpublic record, Form ADV, Mar 5, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 5, 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: Other adviserderiveda 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: net advisor flow, 12 months.