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.
Former SEC-registered adviser
Bmo Capital Markets Corp.
Latest filing Mar 28, 2025
First filing on the tape Jan 10, 2012 · 76 filings
SEC status approved since Jan 26, 2012
RAUM
$1.2B
reported, Item 5.F
Discretionary
100%
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
1,275
26 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
76 filings and snapshots on the tape
RAUM$1.2B as of Mar 28, 2025
Mar 14, 2013$3.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2025
Mar 14, 20130 then
Employees (5.A)1,275 as of Mar 28, 2025
Mar 14, 2013850 then
Private funds1 as of Mar 28, 2019
Mar 14, 20132 then
RAUM +52% over the last fiscal year+19% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2025; 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
- $303MderivedRAUM 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
- unknownderived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +52%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, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, otherreportedItem 5.G
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is a broker-dealer (6.A.1)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.2B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Straight-A Funding LLCno longer reported | Securitized Asset Fund | $15B | 1 | Jan 10, 2012 |
| Fairway Finance Company, LLCno longer reported | Securitized Asset Fund | $3.7B | 1 | Jan 10, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Thomas John Brickley · Financial And Operations Principalcontrolsince 03/2020 · owns less than 5%
- Warren Francis Estey · Managing Director, Investment Bankingcontrolsince 10/2023 · owns less than 5%
- Michael Forlenza · Head, Chief Operating Officercontrolsince 10/2023 · owns less than 5%
- Levent Kahraman · Managing Director, Global Marketscontrolsince 10/2023 · owns less than 5%
- Scott Stephen Solowey · Chief Compliance Officercontrolsince 10/2023 · owns less than 5%
- Joel Edward Woodward · Chief Financial Officercontrolsince 09/2023 · owns less than 5%
Entity owners
- Bmo Financial Corp. · Shareholderdirect · owns 75% or more
- Bank Of Montreal · Shareholderindirect · owns 75% or more of Bmo Financial Corp. · public reporting company
Related persons
Schedule D 7.A
- Bank Of Montrealy
- Bmo Asset Management Inc.investment advisern
- Bmo Bank N.A.n
- Bmo Nesbitt Burns Inc.broker-dealerinvestment advisern
- Clearpool Execution Services, LLCbroker-dealern
Advisers that list Bmo Capital Markets Corp. as a related person
Offices
Schedule D 1.F, the 25 largest
- Boston, MA2 employees
- Houston, TX1 employees
- Denver, CO1 employees
- Chicago, IL1 employees
What changed
consecutive filings, newest first
- Advisory employees · 25 to 26Jan 23, 2025 to Mar 28, 2025
- BD registered reps · 1,022 to 1,069Jan 23, 2025 to Mar 28, 2025
- Employees · 1,208 to 1,275Jan 23, 2025 to Mar 28, 2025
- Discretionary RAUM · $796M to $1.2BJan 23, 2025 to Mar 28, 2025
- Pooled vehicle RAUM · $796M to $1.2BJan 23, 2025 to Mar 28, 2025
- RAUM · $796M to $1.2BJan 23, 2025 to Mar 28, 2025
- Accounts · 3 to 4Feb 28, 2024 to Mar 28, 2024
- Advisory employees · 27 to 25Feb 28, 2024 to Mar 28, 2024
- BD registered reps · 994 to 1,022Feb 28, 2024 to Mar 28, 2024
- Pooled vehicle clients · 3 to 4Feb 28, 2024 to Mar 28, 2024
- Employees · 1,271 to 1,208Feb 28, 2024 to Mar 28, 2024
- Other offices · 5 to 4Feb 28, 2024 to Mar 28, 2024
- Discretionary RAUM · $608M to $796MFeb 28, 2024 to Mar 28, 2024
- Pooled vehicle RAUM · $608M to $796MFeb 28, 2024 to Mar 28, 2024
- RAUM · $608M to $796MFeb 28, 2024 to Mar 28, 2024
- Accounts · 2 to 3Feb 11, 2022 to Mar 29, 2023
- Advisory employees · 32 to 27Feb 11, 2022 to Mar 29, 2023
- BD registered reps · 963 to 994Feb 11, 2022 to Mar 29, 2023
- Pooled vehicle clients · 2 to 3Feb 11, 2022 to Mar 29, 2023
- Employees · 1,239 to 1,271Feb 11, 2022 to Mar 29, 2023
- Other offices · 4 to 5Feb 11, 2022 to Mar 29, 2023
- Discretionary RAUM · $715M to $608MFeb 11, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $715M to $608MFeb 11, 2022 to Mar 29, 2023
- RAUM · $715M to $608MFeb 11, 2022 to Mar 29, 2023
- Accounts · 1 to 2Sep 8, 2021 to Feb 11, 2022
- Advisory employees · 28 to 32Sep 8, 2021 to Feb 11, 2022
- BD registered reps · 902 to 963Sep 8, 2021 to Feb 11, 2022
- Pooled vehicle clients · 1 to 2Sep 8, 2021 to Feb 11, 2022
- Employees · 1,250 to 1,239Sep 8, 2021 to Feb 11, 2022
- Other offices · 3 to 4Sep 8, 2021 to Feb 11, 2022
- Discretionary RAUM · $412M to $715MSep 8, 2021 to Feb 11, 2022
- Pooled vehicle RAUM · $412M to $715MSep 8, 2021 to Feb 11, 2022
- RAUM · $412M to $715MSep 8, 2021 to Feb 11, 2022
- Advisory employees · 31 to 28Mar 1, 2021 to Mar 25, 2021
- BD registered reps · 983 to 902Mar 1, 2021 to Mar 25, 2021
- Employees · 1,200 to 1,250Mar 1, 2021 to Mar 25, 2021
- Discretionary RAUM · $291M to $412MMar 1, 2021 to Mar 25, 2021
- Pooled vehicle RAUM · $291M to $412MMar 1, 2021 to Mar 25, 2021
- RAUM · $291M to $412MMar 1, 2021 to Mar 25, 2021
- Advisory employees · 53 to 31Feb 28, 2020 to Mar 31, 2020
Signals
26 dated events
- Bmo Capital Markets Corp. no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $1.2B)Dec 20, 2025 · Left the SEC roster · derived
- Bmo Capital Markets Corp. reported RAUM $1.2B, up 52% from $796.4M (2025-01-23 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- Daniel Alan Goldman (Managing Director, Global Markets) no longer on Schedule A of Bmo Capital Markets Corp. (listed 2024-09-12, absent 2024-11-21)Nov 21, 2024 · Control person left · inference
- Bmo Capital Markets Corp. reported RAUM $796.4M, up 31% from $607.8M (2024-02-28 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Brad Anders Rothbaum (Chief Operating Officer & Head, Global Markets) no longer on Schedule A of Bmo Capital Markets Corp. (listed 2023-09-03, absent 2023-11-02)Nov 2, 2023 · Control person left · inference
- Michael William Coppins (Chief Financial Officer) no longer on Schedule A of Bmo Capital Markets Corp. (listed 2023-09-03, absent 2023-11-02)Nov 2, 2023 · Control person left · inference
- Alan Tannenbaum (Executive Officer) no longer on Schedule A of Bmo Capital Markets Corp. (listed 2023-09-03, absent 2023-11-02)Nov 2, 2023 · Control person left · inference
- Joel Edward Woodward (Chief Financial Officer) appeared on Schedule A of Bmo Capital Markets Corp.Nov 2, 2023 · Control person joined · fact
- Daniel Alan Goldman (Managing Director, Global Markets) appeared on Schedule A of Bmo Capital Markets Corp.Nov 2, 2023 · Control person joined · fact
- Levent Kahraman (Managing Director, Global Markets) appeared on Schedule A of Bmo Capital Markets Corp.Nov 2, 2023 · Control person joined · fact
- Warren Francis Estey (Managing Director, Investment Banking) appeared on Schedule A of Bmo Capital Markets Corp.Nov 2, 2023 · Control person joined · fact
- Scott Stephen Solowey (Chief Compliance Officer) appeared on Schedule A of Bmo Capital Markets Corp.Nov 2, 2023 · Control person joined · fact
- Bmo Capital Markets Corp. reported RAUM $714.5M, up 74% from $411.8M (2021-09-08 to 2022-02-11)Feb 11, 2022 · RAUM change · derived
- Bmo Capital Markets Corp. reported RAUM $411.8M, up 42% from $290.9M (2021-03-01 to 2021-03-25)Mar 25, 2021 · RAUM change · derived
- Peter Allan Myers (Head, Investment Banking) no longer on Schedule A of Bmo Capital Markets Corp. (listed 2021-03-01, absent 2021-03-25)Mar 25, 2021 · Control person left · inference
- Alan Tannenbaum (Executive Officer) appeared on Schedule A of Bmo Capital Markets Corp.Mar 1, 2021 · Control person joined · fact
- Bmo Capital Markets Corp. reported RAUM $290.9M, down 92% from $3.7B (2020-02-28 to 2020-03-31)Mar 31, 2020 · RAUM change · derived
- Bradley Scott Reid (Director) no longer on Schedule A of Bmo Capital Markets Corp. (listed 2020-03-31, absent 2020-03-31)Mar 31, 2020 · Control person left · inference
- Christopher David Taves (Director) no longer on Schedule A of Bmo Capital Markets Corp. (listed 2020-03-31, absent 2020-03-31)Mar 31, 2020 · Control person left · inference
- Kenneth Edward Librot (Director) no longer on Schedule A of Bmo Capital Markets Corp. (listed 2020-03-31, absent 2020-03-31)Mar 31, 2020 · Control person left · inference
- Daniela Anna O'Leary-Gill (Director) no longer on Schedule A of Bmo Capital Markets Corp. (listed 2020-03-31, absent 2020-03-31)Mar 31, 2020 · Control person left · inference
- Thomas John Brickley (Financial And Operations Principal) appeared on Schedule A of Bmo Capital Markets Corp.Mar 31, 2020 · Control person joined · fact
- Bmo Capital Markets Corp. reported 5 offices beyond its principal office, down from 13 (2018-10-17 to 2019-03-28)Mar 28, 2019 · Office count change · derived
- Bmo Capital Markets Corp. reported RAUM $3.7B, up 32% from $2.8B (2018-10-17 to 2019-03-28)Mar 28, 2019 · RAUM change · derived
- Patrick Paul Cronin (Director) no longer on Schedule A of Bmo Capital Markets Corp. (listed 2018-10-17, absent 2019-03-28)Mar 28, 2019 · Control person left · inference
- Conni Gibson (Chief Legal Officer) no longer on Schedule A of Bmo Capital Markets Corp. (listed 2018-10-17, absent 2019-03-28)Mar 28, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- BMO Capital Markets Corp. · Private Equityshared crd · intermediary
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