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
C•••• A•••• M••••••••• I••
Latest filing Mar 27, 2026
First filing on the tape Sep 5, 2014 · 16 filings
SEC status approved since Sep 15, 2014
RAUM
$4.8B
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
30%
$1.5B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
73
32 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$4.8B as of Mar 27, 2026
Mar 27, 2015$179M then
HNW client RAUM$1.2B as of Mar 27, 2026
Mar 29, 2018$937M then
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 27, 20150 then
Employees (5.A)73 as of Mar 27, 2026
Mar 27, 201539 then
Private funds: no history
RAUM +13% over the last fiscal year+3.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- b••• affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- 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
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $3.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 1.7%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
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$2.0B56%
- High-net-worth individuals$1.2B34%
- Individuals$261M7.4%
- Pension and profit-sharing plans$78.9M2.2%
- Insurance companies$3.5M0.1%
- Individual clients
- 788reported
- HNW clients
- 386reported
- Pension plan clients
- 8reported
- Charitable clients
- n/areported
- Accounts
- 1,550reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.3 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• P••• · Cfocontrolsince 03/2023 · owns less than 5%
- D•••••• M•••• · Signing Officercontrolsince 03/2023 · owns less than 5%
- G••••••• B•••••• · Senior Vpcontrolsince 03/2023 · owns less than 5%
- H••••••• A•••••• M• · Investment Committee Member/Cio/Executive Committeecontrolsince 01/2012 · owns less than 5%
- M••••••••• T•••• · Corporate Secretarycontrolsince 03/2023 · owns less than 5%
- P•••••• R•• · Directorcontrolsince 03/2023 · owns less than 5%
- P•••••• H•••• · Chairmancontrolsince 03/2023 · owns less than 5%
- P•••••• J•••• · Executive Vpcontrolsince 03/2023 · owns less than 5%
- R••••• C•••• · Signing Officercontrolsince 03/2023 · owns less than 5%
- S••••• H••••• · Executive Vpcontrolsince 03/2023 · owns less than 5%
- S•••• C••••••••• · Vpcontrolsince 03/2023 · owns less than 5%
- T••••••• B•••• · Chief Compliance Officercontrolsince 03/2020 · owns less than 5%
Entity owners
- C•••• B••• C••••• · Ownerdirect · owns 75% or more
- C•••• B••• • T•••• I••• · Ownerindirect · owns 75% or more of C•••• B••• C•••••
Related persons
Schedule D 7.A
- C•••• •••• L•••••• • S•••• A•••••investment advisern
- C•••• B••• C•••••y
- C•••• T•••• C•••••• C•••••n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 27, 2026D•••••• M•••• (SIGNING OFFICER) left Schedule A between the filings of 2024-03-27 and 2026-03-27peers: independent wealth managers, $1B to $5B (1,362)
- HNW share shiftChange between filings · filing Mar 27, 2026HNW share of RAUM moved from 6.0% to 25.0% between the annual amendments of 2025-03-25 and 2026-03-27peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 1,431 to 1,550Mar 25, 2025 to Mar 27, 2026
- Advisory employees · 38 to 32Mar 25, 2025 to Mar 27, 2026
- Corporate clients · 189 to 204Mar 25, 2025 to Mar 27, 2026
- HNW clients · 337 to 386Mar 25, 2025 to Mar 27, 2026
- Individual clients · 759 to 788Mar 25, 2025 to Mar 27, 2026
- Discretionary RAUM · $4.0B to $4.6BMar 25, 2025 to Mar 27, 2026
- HNW RAUM · $246M to $1.2BMar 25, 2025 to Mar 27, 2026
- Individual RAUM · $1.0B to $261MMar 25, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $275M to $211MMar 25, 2025 to Mar 27, 2026
- Pension RAUM · $76.8M to $78.9MMar 25, 2025 to Mar 27, 2026
- RAUM · $4.3B to $4.8BMar 25, 2025 to Mar 27, 2026
- Accounts · 1,378 to 1,431Mar 27, 2024 to Mar 25, 2025
- Corporate clients · 179 to 189Mar 27, 2024 to Mar 25, 2025
- HNW clients · 350 to 337Mar 27, 2024 to Mar 25, 2025
- Individual clients · 708 to 759Mar 27, 2024 to Mar 25, 2025
- Employees · 70 to 73Mar 27, 2024 to Mar 25, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 25, 2025
- HQ state · unset to Mar 27, 2024 to Mar 25, 2025
- Discretionary RAUM · $5.0B to $4.0BMar 27, 2024 to Mar 25, 2025
- HNW RAUM · $1.2B to $246MMar 27, 2024 to Mar 25, 2025
- Individual RAUM · $224M to $1.0BMar 27, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $232M to $275MMar 27, 2024 to Mar 25, 2025
- Pension RAUM · $65.3M to $76.8MMar 27, 2024 to Mar 25, 2025
- RAUM · $5.2B to $4.3BMar 27, 2024 to Mar 25, 2025
- Accounts · 1,297 to 1,378Mar 30, 2023 to Mar 27, 2024
- Advisory employees · 31 to 38Mar 30, 2023 to Mar 27, 2024
- Advisory activities · 3 to 4Mar 30, 2023 to Mar 27, 2024
- Corporate clients · 159 to 179Mar 30, 2023 to Mar 27, 2024
- HNW clients · 320 to 350Mar 30, 2023 to Mar 27, 2024
- Individual clients · 689 to 708Mar 30, 2023 to Mar 27, 2024
- Pension plan clients · 3 to 8Mar 30, 2023 to Mar 27, 2024
- Discretionary RAUM · $4.2B to $5.0BMar 30, 2023 to Mar 27, 2024
- HNW RAUM · $908M to $1.2BMar 30, 2023 to Mar 27, 2024
- Individual RAUM · $214M to $224MMar 30, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $146M to $232MMar 30, 2023 to Mar 27, 2024
- Pension RAUM · $57.5M to $65.3MMar 30, 2023 to Mar 27, 2024
- RAUM · $4.4B to $5.2BMar 30, 2023 to Mar 27, 2024
- Accounts · 1,262 to 1,297Mar 29, 2022 to Mar 30, 2023
- Advisory employees · 43 to 31Mar 29, 2022 to Mar 30, 2023
- Corporate clients · 165 to 159Mar 29, 2022 to Mar 30, 2023
Signals
21 dated events
- C•••• R•••• (Signing Officer) appeared on Schedule A of C•••• A•••• M••••••••• I••Mar 27, 2024 · Control person joined · fact
- M•••• D••••• (Signing Officer) appeared on Schedule A of C•••• A•••• M••••••••• I••Mar 27, 2024 · Control person joined · fact
- Ron Patton (Director) appeared on Schedule A of C•••• A•••• M••••••••• I••Mar 30, 2023 · Control person joined · fact
- Henry Perren (Chairman) appeared on Schedule A of C•••• A•••• M••••••••• I••Mar 30, 2023 · Control person joined · fact
- Hilton Sacks (Executive Vp) appeared on Schedule A of C•••• A•••• M••••••••• I••Mar 30, 2023 · Control person joined · fact
- James Porter (Executive Vp) appeared on Schedule A of C•••• A•••• M••••••••• I••Mar 30, 2023 · Control person joined · fact
- Paul Buchanan (Cfo) appeared on Schedule A of C•••• A•••• M••••••••• I••Mar 30, 2023 · Control person joined · fact
- Bradley Gibbert (Senior Vp) appeared on Schedule A of C•••• A•••• M••••••••• I••Mar 30, 2023 · Control person joined · fact
- Christopher Shaw (Vp) appeared on Schedule A of C•••• A•••• M••••••••• I••Mar 30, 2023 · Control person joined · fact
- Tammy Meinstein (Corporate Secretary) appeared on Schedule A of C•••• A•••• M••••••••• I••Mar 30, 2023 · Control person joined · fact
- C•••• A•••• M••••••••• I•• reported RAUM $5.2B, up 28% from $4.1B (2021-03-31 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- W Robert Gibson (Investment Committee Member/Portofolio Manager/Head Of Canadian Equities Mandates) no longer on Schedule A of C•••• A•••• M••••••••• I•• (listed 2021-03-31, absent 2022-03-29)Mar 29, 2022 · Control person left · inference
- Charles Lannon (Investment Committee Member) no longer on Schedule A of C•••• A•••• M••••••••• I•• (listed 2021-03-31, absent 2022-03-29)Mar 29, 2022 · Control person left · inference
- (Nmn) Paul Mcleod (Chief Financial Officer) no longer on Schedule A of C•••• A•••• M••••••••• I•• (listed 2021-03-31, absent 2022-03-29)Mar 29, 2022 · Control person left · inference
- Ronald Patton (Investment Committee Member/Head Of Canadian Investment Mandates) no longer on Schedule A of C•••• A•••• M••••••••• I•• (listed 2020-06-30, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- C•••• A•••• M••••••••• I•• reported RAUM $4.2B, up 29% from $3.3B (2019-03-29 to 2020-04-01)Apr 1, 2020 · RAUM change · derived
- Nmn Bryan Tamblyn (Chief Compliance Officer) appeared on Schedule A of C•••• A•••• M••••••••• I••Apr 1, 2020 · Control person joined · fact
- (Nmn) Bradley Gibbert (Chief Compliance Officer) no longer on Schedule A of C•••• A•••• M••••••••• I•• (listed 2019-03-29, absent 2020-04-01)Apr 1, 2020 · Control person left · inference
- C•••• A•••• M••••••••• I•• reported RAUM $3.3B, down 36% from $5.1B (2018-03-29 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- R Tiziana Mazzilli (Senior Vice President) no longer on Schedule A of C•••• A•••• M••••••••• I•• (listed 2018-03-29, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- T•••• A•• I••••••••• A•••• M••••••••• filed its initial SEC registration (Form ADV)Sep 5, 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.
How to reach
public business contact points only, each with its source
- Business phone
- 647-776-8107reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 647-776-8111reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/cidel-financial-groupreportedpublic record, Form ADV, Sep 18, 2026
- Website
- loricaic.careportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 416-977-6767reportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- loricaic.ca/contact-usreportedpublished by the firm, firm site, Sep 17, 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
- Wealth manager with institutional or fund businessderiveda 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