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W•••••••• G••••• A•••• M••••••••• C••••

Former SEC-registered adviserFormer SEC adviser· Toronto

Former SEC-registered adviser, based in Toronto, reporting $833M of regulatory assets.

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

Last reported RAUM
$833M
Form ADV
RAUM change, last fiscal year
+51%
Form ADV, consecutive annual filings
Private clients
0.1% of RAUM, $1.2M
Form ADV
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 165327 · SEC 801-77105 · 12 filingsShow
CRD 165327SEC 801-77105First filing on the tape Aug 27, 2012, latest Dec 23, 2019IAPD
RAUM
$833M
reported, Item 5.F
Discretionary
0.8%
of RAUM
Private clients
0.1%
$1.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$833M as of Dec 23, 2019
Oct 18, 2012$54.6M then
HNW client RAUM$1.2M as of Dec 23, 2019
Dec 21, 2017$2.3M then
State-registered IARs (5.B.3)0 as of Dec 23, 2019
Nov 11, 20130 then
Employees (5.A)6 as of Dec 23, 2019
Nov 11, 20138 then
Private funds: no history
RAUM +51% over the last fiscal year+19% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Dec 23, 2019; 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
$1.2MderivedHNW RAUM over HNW clients
Average account
$278MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.8%derivedof RAUM
Institutional
99%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
+51%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
-50%derived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, 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
  • Insurance companies$826M99%
  • Investment companies$5.9M0.7%
  • High-net-worth individuals$1.2M0.1%
Individual clients
0reported
HNW clients
1reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
3reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
      • A••••••• R••••• · Chairman & Managing Principalcontrol
        since 06/2003 · owns 10% to 25%
      • K•••••••• R••••• · Chief Compliance Officer (Cco) & Managing Principalcontrol
        since 06/2004 · owns 5% to 10%
      • K•••••••• V•••••• •••• · Directorcontrol
        since 12/2015 · owns 50% to 75%
      • M••••••••• P••••••• J••••• · Managing Principalcontrol
        since 10/2017 · owns less than 5%
      • K•••••••• V•••••• •••• · Shareholdercontrol
        since 01/1997 · owns 25% to 50% of K••••••• F••••••• C••••
      • L•••••••• J•••• · Managing Principal
        since 05/2009 · owns less than 5%
      Entity owners
      • K••••••• F••••••• C•••• · Shareholder
        direct · owns 50% to 75%
      Related persons
      Schedule D 7.A
      No related person reported.
      Advisers that list W•••••••• G••••• A•••• M••••••••• C•••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 5 to 3
        Dec 27, 2018 to Dec 23, 2019
      • Advisory employees · 3 to 4
        Dec 27, 2018 to Dec 23, 2019
      • Advisory activities · 4 to 3
        Dec 27, 2018 to Dec 23, 2019
      • HNW clients · 2 to 1
        Dec 27, 2018 to Dec 23, 2019
      • Employees · 4 to 6
        Dec 27, 2018 to Dec 23, 2019
      • Discretionary RAUM · $38.3M to $7.1M
        Dec 27, 2018 to Dec 23, 2019
      • HNW RAUM · $1.8M to $1.2M
        Dec 27, 2018 to Dec 23, 2019
      • Non-discretionary RAUM · $512M to $826M
        Dec 27, 2018 to Dec 23, 2019
      • RAUM · $550M to $833M
        Dec 27, 2018 to Dec 23, 2019
      • Related adviser · true to false
        Dec 27, 2018 to Dec 23, 2019
      • Accounts · 6 to 5
        Dec 21, 2017 to Dec 27, 2018
      • HNW clients · 3 to 2
        Dec 21, 2017 to Dec 27, 2018
      • Pooled vehicle clients · 1 to 0
        Dec 21, 2017 to Dec 27, 2018
      • Employees · 3 to 4
        Dec 21, 2017 to Dec 27, 2018
      • Discretionary RAUM · $29.4M to $38.3M
        Dec 21, 2017 to Dec 27, 2018
      • HNW RAUM · $2.3M to $1.8M
        Dec 21, 2017 to Dec 27, 2018
      • Non-discretionary RAUM · $508M to $512M
        Dec 21, 2017 to Dec 27, 2018
      • Pooled vehicle RAUM · 1205632.0 to unset
        Dec 21, 2017 to Dec 27, 2018
      • RAUM · $538M to $550M
        Dec 21, 2017 to Dec 27, 2018
      • Accounts · 7 to 6
        Apr 24, 2017 to Dec 21, 2017
      • Business name · I••••••••• M•••••• F•••••• C•••• to W•••••••• G••••• A•••• M••••••••• C••••
        Apr 24, 2017 to Dec 21, 2017
      • Charity clients · unset to 0.0
        Apr 24, 2017 to Dec 21, 2017
      • Corporate clients · unset to 0.0
        Apr 24, 2017 to Dec 21, 2017
      • HNW clients · unset to 3.0
        Apr 24, 2017 to Dec 21, 2017
      • Individual clients · unset to 0.0
        Apr 24, 2017 to Dec 21, 2017
      • Pension plan clients · unset to 0.0
        Apr 24, 2017 to Dec 21, 2017
      • Pooled vehicle clients · unset to 1.0
        Apr 24, 2017 to Dec 21, 2017
      • Legal name · I••••••••• M•••••• F•••••• C•••• to W•••••••• G••••• A•••• M••••••••• C••••
        Apr 24, 2017 to Dec 21, 2017
      • Other offices · unset to 0.0
        Apr 24, 2017 to Dec 21, 2017
      • Discretionary RAUM · $32.6M to $29.4M
        Apr 24, 2017 to Dec 21, 2017
      • HNW RAUM · unset to 2272618.0
        Apr 24, 2017 to Dec 21, 2017
      • Non-discretionary RAUM · $465M to $508M
        Apr 24, 2017 to Dec 21, 2017
      • Pooled vehicle RAUM · unset to 1205632.0
        Apr 24, 2017 to Dec 21, 2017
      • RAUM · $497M to $538M
        Apr 24, 2017 to Dec 21, 2017
      • Accounts · 13 to 7
        Dec 23, 2016 to Apr 24, 2017
      • Discretionary RAUM · $54.6M to $32.6M
        Dec 23, 2016 to Apr 24, 2017
      • Non-discretionary RAUM · $446M to $465M
        Dec 23, 2016 to Apr 24, 2017
      • RAUM · $500M to $497M
        Dec 23, 2016 to Apr 24, 2017
      • Accounts · 9 to 13
        Jan 4, 2016 to Dec 23, 2016
      • Advisory activities · 3 to 4
        Jan 4, 2016 to Dec 23, 2016
      Signals
      2 dated events
      • ••• Locked
        Dec 23, 2019 · RAUM change · derived
      • ••• Locked
        Aug 27, 2012 · 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.
      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
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026