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Former SEC-registered adviser

F••••••••• C•••••• M••••••••• I•••

Former SEC-registered adviserVancouver, Bc, CRD 158201SEC 801-72536IAPD
Latest filing Jun 28, 2016
First filing on the tape Apr 13, 2012 · 5 filings
RAUM
$17.0M
reported, Item 5.F
Discretionary
71%
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
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$17.0M as of Jun 28, 2016
Apr 22, 2013$500,000 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 28, 2016
Apr 22, 20130 then
Employees (5.A)7 as of Jun 28, 2016
Apr 22, 20132 then
Private funds: no history
RAUM +183% over the last fiscal year+224% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 28, 2016; 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
$141,667derivedRAUM over accounts (5.F.2.f)
Discretionary
71%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
+183%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, fixed fees, performance-based, commissionsreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
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
120reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, performance, commissionsreported
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
      • L•••••• N•••••••• F••••••• · Presidentcontrol
        since 02/2015 · owns 10% to 25%
      • N•••••• J•••• C•••••• · Secretary
        since 03/2015 · owns 5% to 10%
      • V••••••• R••••• · Owner
        since 02/2015 · owns 10% to 25%
      • H•••••• J••••• C•••••• · Cfo
        since 02/2015 · owns 75% or more of Hoffar Holdings Inc.
      • H•••••• M••••••• D•••••• · Officer
        since 02/2015 · owns 75% or more of Calvaria Investment Corp.
      Entity owners
      • D•••••• D•••••• W•••••• · Ceo, Chief Compliance Officer
        indirect · owns 25% to 50% of Alyra Capital Inc
      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 · 18 to 120
        Mar 5, 2015 to Jun 28, 2016
      • Advisory employees · 3 to 4
        Mar 5, 2015 to Jun 28, 2016
      • Advisory activities · 6 to 5
        Mar 5, 2015 to Jun 28, 2016
      • Business name · J••••• A••••••• S••••••• I••• to F••••••••• C•••••• M••••••••• I•••
        Mar 5, 2015 to Jun 28, 2016
      • Legal name · J••••• A••••••• S••••••• I••• to F••••••••• C•••••• M••••••••• I•••
        Mar 5, 2015 to Jun 28, 2016
      • Discretionary RAUM · $4.0M to $12.0M
        Mar 5, 2015 to Jun 28, 2016
      • Non-discretionary RAUM · $2.0M to $5.0M
        Mar 5, 2015 to Jun 28, 2016
      • RAUM · $6.0M to $17.0M
        Mar 5, 2015 to Jun 28, 2016
      • Related broker-dealer · true to false
        Mar 5, 2015 to Jun 28, 2016
      • Accounts · unset to 18.0
        Apr 3, 2014 to Mar 5, 2015
      • Advisory employees · 1 to 3
        Apr 3, 2014 to Mar 5, 2015
      • Employees · 2 to 7
        Apr 3, 2014 to Mar 5, 2015
      • HQ city · VANCOUVER BC to VANCOUVER, BC
        Apr 3, 2014 to Mar 5, 2015
      • Discretionary RAUM · unset to 4000000.0
        Apr 3, 2014 to Mar 5, 2015
      • Non-discretionary RAUM · unset to 2000000.0
        Apr 3, 2014 to Mar 5, 2015
      • RAUM · unset to 6000000.0
        Apr 3, 2014 to Mar 5, 2015
      • Accounts · 10.0 to unset
        Apr 22, 2013 to Apr 3, 2014
      • Advisory employees · 2 to 1
        Apr 22, 2013 to Apr 3, 2014
      • Discretionary RAUM · 0.0 to unset
        Apr 22, 2013 to Apr 3, 2014
      • Non-discretionary RAUM · 500000.0 to unset
        Apr 22, 2013 to Apr 3, 2014
      • RAUM · 500000.0 to unset
        Apr 22, 2013 to Apr 3, 2014
      • Accounts · unset to 10.0
        Apr 13, 2012 to Apr 22, 2013
      • Advisory employees · unset to 2.0
        Apr 13, 2012 to Apr 22, 2013
      • Employees · unset to 2.0
        Apr 13, 2012 to Apr 22, 2013
      • State-registered IARs · unset to 0.0
        Apr 13, 2012 to Apr 22, 2013
      • Discretionary RAUM · unset to 0.0
        Apr 13, 2012 to Apr 22, 2013
      • Non-discretionary RAUM · unset to 500000.0
        Apr 13, 2012 to Apr 22, 2013
      • RAUM · unset to 500000.0
        Apr 13, 2012 to Apr 22, 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