DFX Intelligence

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Former SEC-registered adviser

G••••••• W••••• A•••••••• L••

Former SEC-registered adviserCRD 167832SEC 801-79103IAPD

Latest filing Mar 29, 2021

First filing on the tape Jan 14, 2014 · 20 filings

RAUM

$759,983

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$759,983 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

20 filings and snapshots on the tape

RAUM$759,983 as of Mar 29, 2021

Jan 22, 2015$0 then

HNW client RAUM$0 as of Mar 29, 2021

Mar 14, 2018$0 then

State-registered IARs (5.B.3)0 as of Mar 29, 2021

Jan 22, 20150 then

Employees (5.A)2 as of Mar 29, 2021

Jan 22, 20153 then

Private funds: no history

RAUM +26% over the last fiscal year+15% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 29, 2021; 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: $84,443derivedRAUM 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: unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year: +26%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: -73%derived
Compensation: percentage of assets, fixed feesreportedItem 5.E
Advisory activities: portfolio management for individuals, otherreportedItem 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

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)
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

Individuals$759,983100%

Individual clients: 9reported
HNW clients: 0reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 9reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixedreported
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 departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

G•••••• N•••• D•••• · Chief Executive Officer And Chief Compliance Officercontrol
since 10/2010 · owns less than 5%
G•••••• N•••• D•••• · Shareholder/Ceocontrol
since 06/2019 · owns 25% to 50% of C•••••• H••••••• I•••
G••••••• C•••• · Shareholdercontrol
since 06/2019 · owns 50% to 75% of C•••••• H••••••• I•••
S••••• K••••• · Shareholdercontrol
since 06/2019 · owns 25% to 50% of C•••••• H••••••• I•••

Entity owners

C•••••• S•••••••• I••• · Shareholder
direct · owns 75% or more
C•••••• H••••••• I••• · Shareholder
indirect · owns F of C•••••• S•••••••• I•••

Related persons

Schedule D 7.A

G••••• A•••••••••
investment advisernRAUM $7.3M

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 33 to 9
Jun 29, 2020 to Mar 29, 2021
Individual clients · 33 to 9
Jun 29, 2020 to Mar 29, 2021
HQ city · TORONTO, ONTARIO to unset
Jun 29, 2020 to Mar 29, 2021
Discretionary RAUM · $605,000 to $759,983
Jun 29, 2020 to Mar 29, 2021
Individual RAUM · $605,000 to $759,983
Jun 29, 2020 to Mar 29, 2021
RAUM · $605,000 to $759,983
Jun 29, 2020 to Mar 29, 2021
Accounts · 20 to 33
Mar 14, 2019 to Feb 10, 2020
Individual clients · 20 to 33
Mar 14, 2019 to Feb 10, 2020
Discretionary RAUM · $650,000 to $605,000
Mar 14, 2019 to Feb 10, 2020
Individual RAUM · $650,000 to $605,000
Mar 14, 2019 to Feb 10, 2020
RAUM · $650,000 to $605,000
Mar 14, 2019 to Feb 10, 2020
Accounts · 30 to 20
Mar 14, 2018 to Mar 14, 2019
Advisory employees · 1 to 2
Mar 14, 2018 to Mar 14, 2019
Advisory activities · 1 to 2
Mar 14, 2018 to Mar 14, 2019
Individual clients · 30 to 20
Mar 14, 2018 to Mar 14, 2019
Employees · 1 to 2
Mar 14, 2018 to Mar 14, 2019
Discretionary RAUM · $500,000 to $650,000
Mar 14, 2018 to Mar 14, 2019
Individual RAUM · $500,000 to $650,000
Mar 14, 2018 to Mar 14, 2019
RAUM · $500,000 to $650,000
Mar 14, 2018 to Mar 14, 2019
Accounts · 15 to 30
Mar 20, 2017 to Mar 14, 2018
Charity clients · unset to 0.0
Mar 20, 2017 to Mar 14, 2018
Corporate clients · unset to 0.0
Mar 20, 2017 to Mar 14, 2018
HNW clients · unset to 0.0
Mar 20, 2017 to Mar 14, 2018
Individual clients · unset to 30.0
Mar 20, 2017 to Mar 14, 2018
Pension plan clients · unset to 0.0
Mar 20, 2017 to Mar 14, 2018
Pooled vehicle clients · unset to 0.0
Mar 20, 2017 to Mar 14, 2018
Other offices · unset to 0.0
Mar 20, 2017 to Mar 14, 2018
Discretionary RAUM · $150,000 to $500,000
Mar 20, 2017 to Mar 14, 2018
HNW RAUM · unset to 0.0
Mar 20, 2017 to Mar 14, 2018
Individual RAUM · unset to 500000.0
Mar 20, 2017 to Mar 14, 2018
Pension RAUM · unset to 0.0
Mar 20, 2017 to Mar 14, 2018
Pooled vehicle RAUM · unset to 0.0
Mar 20, 2017 to Mar 14, 2018
RAUM · $150,000 to $500,000
Mar 20, 2017 to Mar 14, 2018
Accounts · 0 to 15
Jun 9, 2016 to Mar 20, 2017
BD registered reps · 2 to 1
Jun 9, 2016 to Mar 20, 2017
Employees · 3 to 1
Jun 9, 2016 to Mar 20, 2017
Discretionary RAUM · $0 to $150,000
Jun 9, 2016 to Mar 20, 2017
RAUM · $0 to $150,000
Jun 9, 2016 to Mar 20, 2017
Business name · P•••••••• S••••••••• W••••• A•••••••• L•• to G••••••• W••••• A•••••••• L••
Jun 3, 2016 to Jun 9, 2016
Legal name · P•••••••• S••••••••• W••••• A•••••••• L•• to G••••••• W••••• A•••••••• L••
Jun 3, 2016 to Jun 9, 2016

Signals

5 dated events

Jimmy Talbot no longer registered at G••••••• W••••• A•••••••• L••; no later IA registration on IAPD
Feb 11, 2022 · Advisor departure · fact
C•••• G•••••• (Shareholder) appeared on Schedule A of G••••••• W••••• A•••••••• L••
Jun 29, 2020 · Control person joined · fact
K••••• S•••• (Shareholder) appeared on Schedule A of G••••••• W••••• A•••••••• L••
Jun 29, 2020 · Control person joined · fact
Barry John Poulter (Partner) no longer on Schedule A of G••••••• W••••• A•••••••• L•• (listed 2020-02-10, absent 2020-06-29)
Jun 29, 2020 · Control person left · inference
P•••••••• S••••••• R•• U• filed its initial SEC registration (Form ADV)
Jan 14, 2014 · 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: n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026