DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
R••••••••• W••••• •••• L••••••
Latest filing Aug 25, 2026
First filing on the tape Apr 8, 2013 · 33 filings
SEC status approved since Apr 12, 2013
RAUM
$244M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
86%
$210M individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$22.2M
derived; firm RAUM over IAPD count
Employees
78
74 advisory (5.B.1)
Offices
16
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$244M as of Aug 25, 2026
Mar 31, 2014$2.2M then
HNW client RAUM$148M as of Aug 25, 2026
Mar 23, 2018$76.0M then
State-registered IARs (5.B.3)0 as of Aug 25, 2026
Mar 31, 20140 then
Employees (5.A)78 as of Aug 25, 2026
Mar 31, 20144 then
Private funds: no history
RAUM +12% over the last fiscal year+14% a year over threeIARs 0 to 0offices 0 to 16
Practice profile
derived from the filing of Aug 25, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $22.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 24derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $931,081derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 7.1derivedItem 5.A over advisors
- Advisors per office
- 0.6derived17 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -5.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$148M61%
- Individuals$61.9M25%
- Corporations and businesses$33.7M14%
- Individual clients
- 215reported
- HNW clients
- 44reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 262reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.86 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=0.0derived
Advisors registered through the firm
11 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••••••• J••• H•••••••• | Toronto, Ontario | Mar 17, 2016 | 12 y | 0 |
| R•••• M•••••• C•••••Chartered Financial Analyst | Toronto, Ontario | Apr 8, 2019 | 16 y | 0 |
| A•••••••• M•••••• S••••• | Toronto, Ontario | Apr 8, 2019 | 11 y | 0 |
| M•••••• E•••• P•••••• | Toronto, Ontario | Apr 8, 2019 | 22 y | 0 |
| S•••• D•••• B•••••• | Toronto, Ontario | Apr 8, 2019 | 11 y | 0 |
| K••• H••••• P••••••• | Toronto, Ontario | Apr 8, 2019 | 21 y | 0 |
| A••• R••••• C•••••• B•••••• | Toronto, Ontario | Jan 6, 2021 | 12 y | 0 |
| D•••• F•••••• | Toronto, Ontario | Jan 7, 2021 | 16 y | 0 |
| M••• C••••••••• B••• | Toronto, Ontario | Jul 29, 2021 | 16 y | 0 |
| W•••••• D•••• A•••••• M••••••••• | Toronto, Ontario | Aug 29, 2022 | 12 y | 0 |
| M•••••• R•••• H••• | Toronto, Ontario | Aug 29, 2022 | 12 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- N••• D•••• G•••••• to C•••••••• G•••••• W••••• M•••••••••Jan 26, 2021 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••• B•••••••• R••••• · Chief Compliance Officercontrolsince 08/2023 · owns less than 5%
- W•••••••• S•••• · Director, Chief Executive Officer, Chief Financial Officercontrolsince 02/2023 · owns less than 5%
Entity owners
- R••••••••• W••••• L•••••• · Corporationdirect · owns 75% or more
- R• C•••••• G•••• I•• · Shareholderindirect · owns 75% or more of R••• S••••••• C••••• I•••
- R• C•••••• G•••• I•• · Shareholderindirect · owns 25% to 50% of R•• H•••••• C•••
- R•• H•••••• C••• · Shareholderindirect · owns 25% to 50% of R••••••••• W••••• L••••••
- R••• S••••••• C••••• I••• · Shareholderindirect · owns 75% or more of R••••••••• W••••• L••••••
Related persons
Schedule D 7.A
- R••••••••• W••••• L••••••broker-dealery
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- high office count relative to headcountStatic outlier · filing Aug 25, 2026offices per registered advisor of 1.5 against a peer median of 0.6 (577 comparable advisers, 99.0th percentile, 3.7 robust deviations)peers: independent wealth managers, $100M to $500M (577) · 99% percentile
- high employee count relative to advisorsStatic outlier · filing Aug 25, 2026employees per registered advisor of 7.1 against a peer median of 1.2 (1314 comparable advisers, 100.0th percentile, 19.9 robust deviations)peers: independent wealth managers, $100M to $500M (1,314) · 100% percentile
- employee count surgeChange between filings · filing Mar 30, 2026employees (Item 5.A) moved from 15.0 to 78.0 (+420.0%) between the annual amendments of 2025-03-28 and 2026-03-30; the peer median change was 0.0% (507 comparable advisers, 100.0th percentile of changes)peers: independent wealth managers, $100M to $500M (507) · 100% percentile
What changed
consecutive filings, newest first
- Other offices · 12 to 16Mar 30, 2026 to Aug 25, 2026
- Accounts · 277 to 262Dec 17, 2025 to Mar 30, 2026
- Advisory employees · 0 to 74Dec 17, 2025 to Mar 30, 2026
- BD registered reps · 1 to 0Dec 17, 2025 to Mar 30, 2026
- Corporate clients · 4 to 3Dec 17, 2025 to Mar 30, 2026
- HNW clients · 40 to 44Dec 17, 2025 to Mar 30, 2026
- Individual clients · 233 to 215Dec 17, 2025 to Mar 30, 2026
- Employees · 15 to 78Dec 17, 2025 to Mar 30, 2026
- Other offices · 0 to 12Dec 17, 2025 to Mar 30, 2026
- Discretionary RAUM · $218M to $244MDec 17, 2025 to Mar 30, 2026
- HNW RAUM · $130M to $148MDec 17, 2025 to Mar 30, 2026
- Individual RAUM · $58.3M to $61.9MDec 17, 2025 to Mar 30, 2026
- RAUM · $218M to $244MDec 17, 2025 to Mar 30, 2026
- Financial planning clients · 0 to 0Mar 28, 2025 to Nov 12, 2025
- Accounts · 245 to 277Sep 13, 2024 to Mar 28, 2025
- Corporate clients · 5 to 4Sep 13, 2024 to Mar 28, 2025
- HNW clients · 38 to 40Sep 13, 2024 to Mar 28, 2025
- Individual clients · 203 to 233Sep 13, 2024 to Mar 28, 2025
- Financial planning clients · unset to 0Sep 13, 2024 to Mar 28, 2025
- HQ state · unset to Sep 13, 2024 to Mar 28, 2025
- Discretionary RAUM · $193M to $218MSep 13, 2024 to Mar 28, 2025
- HNW RAUM · $112M to $130MSep 13, 2024 to Mar 28, 2025
- Individual RAUM · $52.6M to $58.3MSep 13, 2024 to Mar 28, 2025
- RAUM · $193M to $218MSep 13, 2024 to Mar 28, 2025
- Accounts · 270 to 245Aug 25, 2023 to Mar 25, 2024
- HNW clients · 29 to 38Aug 25, 2023 to Mar 25, 2024
- Individual clients · 236 to 203Aug 25, 2023 to Mar 25, 2024
- Employees · 5 to 15Aug 25, 2023 to Mar 25, 2024
- Discretionary RAUM · $164M to $193MAug 25, 2023 to Mar 25, 2024
- HNW RAUM · $78.1M to $112MAug 25, 2023 to Mar 25, 2024
- Individual RAUM · $57.3M to $52.6MAug 25, 2023 to Mar 25, 2024
- RAUM · $164M to $193MAug 25, 2023 to Mar 25, 2024
- Accounts · 273 to 270Nov 14, 2022 to Mar 22, 2023
- Corporate clients · 4 to 5Nov 14, 2022 to Mar 22, 2023
- HNW clients · 34 to 29Nov 14, 2022 to Mar 22, 2023
- Individual clients · 235 to 236Nov 14, 2022 to Mar 22, 2023
- Discretionary RAUM · $174M to $164MNov 14, 2022 to Mar 22, 2023
- HNW RAUM · $94.5M to $78.1MNov 14, 2022 to Mar 22, 2023
- Individual RAUM · $54.8M to $57.3MNov 14, 2022 to Mar 22, 2023
- RAUM · $174M to $164MNov 14, 2022 to Mar 22, 2023
Signals
10 dated events
- R••••••••• W••••• •••• L•••••• reported 12 offices beyond its principal office, up from 0 (2025-12-17 to 2026-03-30)Mar 30, 2026 · Office count change · derived
- S•••• S••••••• (Director) no longer on Schedule A of R••••••••• W••••• •••• L•••••• (listed 2024-03-25, absent 2024-09-13)Sep 13, 2024 · Control person left · inference
- T•••••• W••••• (Director) no longer on Schedule A of R••••••••• W••••• •••• L•••••• (listed 2024-03-25, absent 2024-09-13)Sep 13, 2024 · Control person left · inference
- R••••• B••••••• F••••• (Chief Compliance Officer) appeared on Schedule A of R••••••••• W••••• •••• L••••••Aug 25, 2023 · Control person joined · fact
- C••••• P••• A•••• (Chief Compliance Officer) no longer on Schedule A of R••••••••• W••••• •••• L•••••• (listed 2023-03-22, absent 2023-04-28)Apr 28, 2023 · Control person left · inference
- T•••••• W••••• (Director, Chief Executive Officer And Chief Financial Officer) appeared on Schedule A of R••••••••• W••••• •••• L••••••Apr 15, 2021 · Control person joined · fact
- S•••• W••••••• (Director) appeared on Schedule A of R••••••••• W••••• •••• L••••••Apr 15, 2021 · Control person joined · fact
- J••• A••••• M•••• (Director And Chief Executive Officer) no longer on Schedule A of R••••••••• W••••• •••• L•••••• (listed 2021-03-16, absent 2021-04-15)Apr 15, 2021 · Control person left · inference
- E••••• M•••••• (Director, Chief Financial Officer And Secretary) no longer on Schedule A of R••••••••• W••••• •••• L•••••• (listed 2021-03-16, absent 2021-04-15)Apr 15, 2021 · Control person left · inference
- R••••••••• G•• •••• L•••••• filed its initial SEC registration (Form ADV)Apr 8, 2013 · 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
- Business phone
- 416-969-3009reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- usa.richardsonwealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 1-855-204-7467reportedpublic record, Form ADV, Aug 25, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $22.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026