DFX Intelligence

RIA Intelligence

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SEC-registered adviser

N••••• A•••• M••••••••• L••••••

Asset manager (funds and pooled vehicles)Toronto, Ontario, CRD 163822SEC 801-115287website IAPD

Latest filing Jan 29, 2026

First filing on the tape Apr 15, 2019 · 11 filings

SEC status approved since May 15, 2019

RAUM

$775M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

8 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

11 filings and snapshots on the tape

RAUM$775M as of Jan 29, 2026

Mar 27, 2020$440M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Jan 29, 2026

Mar 27, 20200 then

Employees (5.A)13 as of Jan 29, 2026

Mar 27, 20208 then

Private funds1 as of Jan 29, 2026

Mar 27, 20201 then

RAUM +19% over the last fiscal year-7.7% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Jan 29, 2026; 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: $86.1MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%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: +19%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 pooled vehicles, portfolio management for investment companiesreportedItem 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

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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$744M96%
Investment companies$30.9M4.0%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 9reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, performancereported
Class basis: private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived

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 departure Every arrival

Private funds

1 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
N••••• E••••• L••••••••• F••• L••	Hedge Fund	$340M	8	Apr 15, 2019

Owners and control persons

Schedule A and B, latest filing

D••••••• D••••• R••• · President, Portfolio Managercontrol
since 11/2009 · owns less than 5%
G•••••• O••• · Chief Compliance Officer, Chief Financial Officercontrol
since 11/2014 · owns less than 5%
D••••••• D••••• R••• · Ownercontrol
since 01/2020 · owns 75% or more of 2•••••• O•••••• I•••
C••••• N•••••• T•••••••• · Portfolio Manager
since 04/2012 · owns less than 5%
R••••• C••••••••• D••••• · Portfolio Manager, Head Trader
since 01/2012 · owns less than 5%

Entity owners

N••••• H••••• L•••••• · Owner
direct · owns 75% or more
2•••••• O•••••• I••• · Shareholder
indirect · owns 50% to 75% of N••••• H••••• L••••••

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 · 8 to 9
Jan 29, 2025 to Jan 29, 2026
Pooled vehicle clients · 7 to 8
Jan 29, 2025 to Jan 29, 2026
Discretionary RAUM · $652M to $775M
Jan 29, 2025 to Jan 29, 2026
Pooled vehicle RAUM · $603M to $744M
Jan 29, 2025 to Jan 29, 2026
RAUM · $652M to $775M
Jan 29, 2025 to Jan 29, 2026
Financial planning clients · unset to
May 25, 2024 to Jan 29, 2025
HQ state · unset to
May 25, 2024 to Jan 29, 2025
Discretionary RAUM · $523M to $652M
May 25, 2024 to Jan 29, 2025
Pooled vehicle RAUM · $486M to $603M
May 25, 2024 to Jan 29, 2025
RAUM · $523M to $652M
May 25, 2024 to Jan 29, 2025
Accounts · 9 to 8
Jan 29, 2024 to May 25, 2024
Pooled vehicle clients · 8 to 7
Jan 29, 2024 to May 25, 2024
Discretionary RAUM · $781M to $523M
Jan 29, 2024 to May 25, 2024
Pooled vehicle RAUM · $741M to $486M
Jan 29, 2024 to May 25, 2024
RAUM · $781M to $523M
Jan 29, 2024 to May 25, 2024
Discretionary RAUM · $987M to $781M
Feb 1, 2023 to Jan 29, 2024
Pooled vehicle RAUM · $931M to $741M
Feb 1, 2023 to Jan 29, 2024
RAUM · $987M to $781M
Feb 1, 2023 to Jan 29, 2024
Accounts · 5 to 9
Jan 26, 2022 to Feb 1, 2023
Advisory employees · 4 to 8
Jan 26, 2022 to Feb 1, 2023
Pooled vehicle clients · 4 to 8
Jan 26, 2022 to Feb 1, 2023
Employees · 9 to 13
Jan 26, 2022 to Feb 1, 2023
Discretionary RAUM · $1.0B to $987M
Jan 26, 2022 to Feb 1, 2023
Pooled vehicle RAUM · $976M to $931M
Jan 26, 2022 to Feb 1, 2023
RAUM · $1.0B to $987M
Jan 26, 2022 to Feb 1, 2023
Accounts · 6 to 5
Jan 27, 2021 to Jan 26, 2022
Employees · 8 to 9
Jan 27, 2021 to Jan 26, 2022
Discretionary RAUM · $898M to $1.0B
Jan 27, 2021 to Jan 26, 2022
Pooled vehicle RAUM · $818M to $976M
Jan 27, 2021 to Jan 26, 2022
RAUM · $898M to $1.0B
Jan 27, 2021 to Jan 26, 2022
Discretionary RAUM · $805M to $898M
May 29, 2020 to Jan 27, 2021
Pooled vehicle RAUM · $739M to $818M
May 29, 2020 to Jan 27, 2021
RAUM · $805M to $898M
May 29, 2020 to Jan 27, 2021
Discretionary RAUM · $440M to $805M
Mar 27, 2020 to May 29, 2020
Pooled vehicle RAUM · $415M to $739M
Mar 27, 2020 to May 29, 2020
RAUM · $440M to $805M
Mar 27, 2020 to May 29, 2020
Accounts · 4 to 6
Apr 15, 2019 to Mar 27, 2020
Advisory activities · 1 to 2
Apr 15, 2019 to Mar 27, 2020
Private funds · 2 to 1
Apr 15, 2019 to Mar 27, 2020
Discretionary RAUM · $322M to $440M
Apr 15, 2019 to Mar 27, 2020

Signals

4 dated events

N••••• A•••• M••••••••• L•••••• reported RAUM $522.6M, down 33% from $781.0M (2024-01-29 to 2024-05-25)
May 25, 2024 · RAUM change · derived
N••••• A•••• M••••••••• L•••••• reported RAUM $804.7M, up 83% from $440.4M (2020-03-27 to 2020-05-29)
May 29, 2020 · RAUM change · derived
N••••• A•••• M••••••••• L•••••• reported RAUM $440.4M, up 37% from $321.6M (2019-04-15 to 2020-03-27)
Mar 27, 2020 · RAUM change · derived
N••••• A•••• M••••••••• L•••••• filed its initial SEC registration (Form ADV)
Apr 15, 2019 · First SEC registration · fact

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

How to reach

public business contact points only, each with its source

Website: n•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 416-941-9111reportedpublic record, Form ADV, Jan 29, 2026

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: Asset manager (funds and pooled vehicles)deriveda 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