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I••••••••• P•••••• D••• C••••

Former SEC-registered adviserFormer SEC adviser· Toronto

Former SEC-registered adviser, based in Toronto, reporting $600M of regulatory assets.

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

Last reported RAUM
$600M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-29%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
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 169731 · SEC 801-79054 · 4 filingsShow
CRD 169731SEC 801-79054Legal name I•• P•••••• D••• G••••First filing on the tape Jan 6, 2014, latest Jan 5, 2016IAPD
RAUM
$600M
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
Not computed
derived; firm RAUM over IAPD count
Employees
16
12 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$600M as of Jan 5, 2016
Jan 2, 2015$850M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 5, 2016
Jan 2, 20150 then
Employees (5.A)16 as of Jan 5, 2016
Jan 2, 201514 then
Private funds: no history
RAUM -29% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jan 5, 2016; 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
$28.6MderivedRAUM 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
-29%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 businesses and institutionsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
21reported
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• D•••••• W•••••• · Vice Chaircontrol
        since 01/2001 · owns less than 5%
      • R••••••••• J•••• F•••••••• · Chairmancontrol
        since 06/2011 · owns less than 5%
      • R•••••• P•••••• S•••••• · Presidentcontrol
        since 06/2011 · owns less than 5%
      • J••••••• S••••••• C•••••• · Shareholdercontrol
        since 01/1997 · owns 25% to 50% of K••••••• Farrugia Corp.
      • K•••••••• V•••••• •••• · Shareholdercontrol
        since 01/1997 · owns 25% to 50% of K••••••• Farrugia
      • S••••• T••••••• A••• · Chief Investment Officer
        since 10/2014 · owns less than 5%
      Entity owners
      • I••••••••• A•••• M••••••••• C•••• · Shareholder
        direct · owns 75% or more
      • I••••••••• A•••• M••••••••• C•••• · Shareholder
        indirect · owns F of I••••••••• P•••••• D••• C••••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 19 to 21
        Jan 2, 2015 to Jan 5, 2016
      • Advisory employees · 10 to 12
        Jan 2, 2015 to Jan 5, 2016
      • Employees · 14 to 16
        Jan 2, 2015 to Jan 5, 2016
      • Discretionary RAUM · $0 to $600M
        Jan 2, 2015 to Jan 5, 2016
      • Non-discretionary RAUM · $850M to $0
        Jan 2, 2015 to Jan 5, 2016
      • RAUM · $850M to $600M
        Jan 2, 2015 to Jan 5, 2016
      • Legal name · I••••••••• P•••••• D••• C•••• to I•• P•••••• D••• G••••
        Jul 21, 2014 to Jan 2, 2015
      • Discretionary RAUM · $797M to $0
        Jul 21, 2014 to Jan 2, 2015
      • Non-discretionary RAUM · $0 to $850M
        Jul 21, 2014 to Jan 2, 2015
      • RAUM · $797M to $850M
        Jul 21, 2014 to Jan 2, 2015
      Signals
      1 dated events
      • ••• Locked
        Jan 6, 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
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026