DFX Intelligence

RIA Intelligence

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N•••• R••• M••••••••• L•

No RAUM reportedSEC-registered· Toronto, On

No RAUM reported, based in Toronto, On.

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

Regulatory AUM
Not established
Advisors
0
IAPD
Net advisor flow, 12 months
Not established
RAUM change, last fiscal year
Not established
Private clients
Not established
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 164449 · SEC 801-81103 · 17 filingsShow
CRD 164449SEC 801-81103First filing on the tape Mar 3, 2015, latest Mar 31, 2026SEC status approved since Mar 30, 2015IAPD
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$0 as of Mar 31, 2026
Mar 28, 2016$0 then
HNW client RAUM$0 as of Mar 31, 2026
Mar 30, 2020$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 28, 20160 then
Employees (5.A)5 as of Mar 31, 2026
Mar 28, 20161 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
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
unknownderived1 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
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
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
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
0reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
private_client_share=0.0 fund_share=0.0 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 departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • G••••••• C••••••• L••••• · Cco And Managing Directorcontrol
        since 05/2017 · owns less than 5%
      • G••••••• C••••••• L••••• · Shareholdercontrol
        since 11/2006 · owns 50% to 75% of N•••• R••• M••••••••• Inc
      Entity owners
      • N•••• R••• M••••••••• I••• · Limited Partner
        direct · owns 75% or more
      • N•••• R••• M••••••••• L•• · General Partner
        direct · owns less than 5%
      • N•••• R••• M••••••••• I••• · Owner
        indirect · owns F of N•••• R••• M••••••••• L••
      Related persons
      Schedule D 7.A
      • N•••• R••• M••••••••• I•••
        real estatey
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · unset to 0.0
        Sep 2, 2024 to Mar 31, 2025
      • Financial planning clients · 0 to 0
        Sep 2, 2024 to Mar 31, 2025
      • HQ state · unset to
        Sep 2, 2024 to Mar 31, 2025
      • Discretionary RAUM · unset to 0.0
        Sep 2, 2024 to Mar 31, 2025
      • Non-discretionary RAUM · unset to 0.0
        Sep 2, 2024 to Mar 31, 2025
      • RAUM · unset to 0.0
        Sep 2, 2024 to Mar 31, 2025
      • Charity clients · unset to 0.0
        Mar 11, 2019 to Mar 30, 2020
      • Corporate clients · unset to 0.0
        Mar 11, 2019 to Mar 30, 2020
      • HNW clients · unset to 0.0
        Mar 11, 2019 to Mar 30, 2020
      • Individual clients · unset to 0.0
        Mar 11, 2019 to Mar 30, 2020
      • Pension plan clients · unset to 0.0
        Mar 11, 2019 to Mar 30, 2020
      • Pooled vehicle clients · unset to 0.0
        Mar 11, 2019 to Mar 30, 2020
      • Other offices · 1 to 0
        Mar 11, 2019 to Mar 30, 2020
      • HNW RAUM · unset to 0.0
        Mar 11, 2019 to Mar 30, 2020
      • Individual RAUM · unset to 0.0
        Mar 11, 2019 to Mar 30, 2020
      • Pension RAUM · unset to 0.0
        Mar 11, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · unset to 0.0
        Mar 11, 2019 to Mar 30, 2020
      • Advisory employees · 1 to 4
        May 11, 2017 to Mar 11, 2019
      • Employees · 1 to 5
        May 11, 2017 to Mar 11, 2019
      • Other offices · unset to 1.0
        May 11, 2017 to Mar 11, 2019
      • Accounts · 0.0 to unset
        Mar 28, 2016 to May 25, 2016
      • HQ city · CHICAGO to TORONTO, ON
        Mar 28, 2016 to May 25, 2016
      • HQ state · IL to unset
        Mar 28, 2016 to May 25, 2016
      • Discretionary RAUM · 0.0 to unset
        Mar 28, 2016 to May 25, 2016
      • Non-discretionary RAUM · 0.0 to unset
        Mar 28, 2016 to May 25, 2016
      • RAUM · 0.0 to unset
        Mar 28, 2016 to May 25, 2016
      • Employees · 2 to 1
        Sep 1, 2015 to Mar 28, 2016
      • Employees · 3 to 2
        Mar 20, 2015 to Sep 1, 2015
      Signals
      3 dated events
      • ••• Locked
        Mar 31, 2026 · ria ownership band change · fact
      • ••• Locked
        Mar 31, 2026 · ria ownership band change · fact
      • ••• Locked
        Mar 3, 2015 · 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
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Mar 31, 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
      No RAUM reportedderiveda 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