DFX Intelligence

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T•••• P•••••• W••••• I•••

Other adviserSEC-registered· Pointe Clairewebsite

Other adviser, based in Pointe Claire, reporting $350M of regulatory assets across 1 registered advisors.

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

As of 2026-05-29 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $350M
Advisors: 1
Net advisor flow, 12 months: 0 (0 in, 0 out)
RAUM change, last fiscal year: +59%
Private clients: 19% of RAUM, $68.0M

Advisors (1)Advisor movement Where the RAUM sits

As of 2026-05-29 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

Reported RAUM grew +59% over the last fiscal year, to $350M.
2026-05-29
RAUM a year earlier $220MRAUM now $350M
2 published business contact points are on record, each with its source.
Contact points 2

Every filed figure, and the identifiersCRD 167608 · SEC 801-78315 · 26 filingsShow

CRD 167608SEC 801-78315First filing on the tape Jul 1, 2013, latest May 29, 2026SEC status approved since Jul 24, 2013IAPD

RAUM

$350M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

19%

$68.0M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$350M

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

26 filings and snapshots on the tape

RAUM$350M as of May 29, 2026

Jun 13, 2014$2.1M then

HNW client RAUM$63.2M as of May 29, 2026

Jun 19, 2018$79.5M then

State-registered IARs (5.B.3)1 as of May 29, 2026

Jun 13, 20140 then

Employees (5.A)6 as of May 29, 2026

Jun 13, 20144 then

Private funds: no history

RAUM +59% over the last fiscal year+17% a year over threeIARs 1 to 1

Practice profile

derived from the filing of May 29, 2026; every figure names its basis

Archetypes, each a printed rule

Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $350MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 288derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $489,796derivedHNW RAUM over HNW clients
Average account: $311,658derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 6.0derivedItem 5.A over advisors
Advisors per office: 0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +18%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +4.7%derived
Compensation: percentage of assets, otherreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for pooled vehicles, publicationsreportedItem 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)
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$282M81%
High-net-worth individuals$63.2M18%
Individuals$4.8M1.4%

Individual clients: 159reported
HNW clients: 129reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 1,123reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: private_client_share=0.19 fund_share=0.81 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

1 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
C•••• S••••• M••••••••Chartered Financial Analyst	Pointe Claire	Nov 4, 2013	14 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

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

M••••••••• C••••• S••••• · Chief Compliance Officer, Chief Investment Officer, And Presidentcontrol
since 03/2015 · owns less than 5%
M••••••••• C••••• S••••• · Trusteecontrol
since 03/2015 · owns F of T•• C•• T••••
H•••••• R•••••• T••••• L•••••• · Manager
since 06/2018 · owns 10% to 25%
S••••• S••••• · Director Of Operations
since 08/2018 · owns 5% to 10%

Entity owners

T•• C•• T•••• · Owner
direct · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

Port Charlotte, FL1 employees

What changed

consecutive filings, newest first

Accounts · 1,219 to 1,123
Jun 11, 2025 to May 29, 2026
Individual clients · 146 to 159
Jun 11, 2025 to May 29, 2026
Employees · 5 to 6
Jun 11, 2025 to May 29, 2026
Discretionary RAUM · $283M to $350M
Jun 11, 2025 to May 29, 2026
HNW RAUM · $45.0M to $63.2M
Jun 11, 2025 to May 29, 2026
Individual RAUM · $10.7M to $4.8M
Jun 11, 2025 to May 29, 2026
Pooled vehicle RAUM · $228M to $282M
Jun 11, 2025 to May 29, 2026
RAUM · $283M to $350M
Jun 11, 2025 to May 29, 2026
Accounts · 1,143 to 1,219
Dec 18, 2024 to Jun 11, 2025
HNW clients · 96 to 129
Dec 18, 2024 to Jun 11, 2025
Individual clients · 170 to 146
Dec 18, 2024 to Jun 11, 2025
Employees · 6 to 5
Dec 18, 2024 to Jun 11, 2025
Financial planning clients · 0 to 0
Dec 18, 2024 to Jun 11, 2025
HQ state · unset to
Dec 18, 2024 to Jun 11, 2025
Discretionary RAUM · $260M to $283M
Dec 18, 2024 to Jun 11, 2025
HNW RAUM · $39.4M to $45.0M
Dec 18, 2024 to Jun 11, 2025
Individual RAUM · $12.0M to $10.7M
Dec 18, 2024 to Jun 11, 2025
Pooled vehicle RAUM · $208M to $228M
Dec 18, 2024 to Jun 11, 2025
RAUM · $260M to $283M
Dec 18, 2024 to Jun 11, 2025
Accounts · 997 to 1,143
Jul 24, 2023 to May 28, 2024
HNW clients · 100 to 96
Jul 24, 2023 to May 28, 2024
Individual clients · 154 to 170
Jul 24, 2023 to May 28, 2024
Employees · 8 to 6
Jul 24, 2023 to May 28, 2024
Discretionary RAUM · $220M to $260M
Jul 24, 2023 to May 28, 2024
HNW RAUM · $35.1M to $39.4M
Jul 24, 2023 to May 28, 2024
Individual RAUM · $8.9M to $12.0M
Jul 24, 2023 to May 28, 2024
Pooled vehicle RAUM · $176M to $208M
Jul 24, 2023 to May 28, 2024
RAUM · $220M to $260M
Jul 24, 2023 to May 28, 2024
Accounts · 963 to 997
Jun 2, 2022 to Jul 24, 2023
Advisory employees · 1 to 3
Jun 2, 2022 to Jul 24, 2023
Business name · T•••• P••••••• I••• to T•••• P•••••• W••••• I•••
Jun 2, 2022 to Jul 24, 2023
HNW clients · 54 to 100
Jun 2, 2022 to Jul 24, 2023
Individual clients · 194 to 154
Jun 2, 2022 to Jul 24, 2023
Pooled vehicle clients · 4 to 5
Jun 2, 2022 to Jul 24, 2023
Legal name · T•••• P••••••• I••• to T•••• P•••••• W••••• I•••
Jun 2, 2022 to Jul 24, 2023
Discretionary RAUM · $238M to $220M
Jun 2, 2022 to Jul 24, 2023
HNW RAUM · $34.8M to $35.1M
Jun 2, 2022 to Jul 24, 2023
Individual RAUM · $12.1M to $8.9M
Jun 2, 2022 to Jul 24, 2023
Pooled vehicle RAUM · $191M to $176M
Jun 2, 2022 to Jul 24, 2023
RAUM · $238M to $220M
Jun 2, 2022 to Jul 24, 2023

Signals

3 dated events

••• Locked
May 29, 2026 · ria ownership band change · fact
••• Locked
May 29, 2026 · ria ownership band change · fact
••• Locked
Jul 1, 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

Website: ••• Lockedreportedpublic record, Form ADV, May 29, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, May 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: Other adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor: $350Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026