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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Former SEC-registered adviser

P••••• A•••• M••••••••• I•••

Former SEC-registered adviserMontreal, CRD 174940SEC 801-81132IAPD
Latest filing Mar 30, 2020
First filing on the tape Mar 6, 2015 · 12 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM: no history
HNW client RAUM$0 as of Mar 30, 2020
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Mar 29, 20160 then
Employees (5.A)7 as of Mar 30, 2020
Mar 29, 201610 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2020; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
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
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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
      • G••••• J••••••••• · Directorcontrol
        since 01/2020 · owns less than 5%
      • G•••••••• M••••••••• · Chief Compliance Officercontrol
        since 07/2019 · owns less than 5%
      • Q••••• N••••• M•••••• · Directorcontrol
        since 03/2018 · owns less than 5%
      • Z••••••••• M•••• · Directorcontrol
        since 12/2007 · owns less than 5%
      Entity owners
      • P••••• A•••• M••••••••• H•••••• S• · Shareholder
        direct · owns 75% or more
      • P••••• ••••••• L•••••• · Shareholder
        indirect · owns 25% to 50% of P••••• A•••• M••••••••• H•••••• S•
      • P••••• • C•• G•••• S•• · Shareholder
        indirect · owns 50% to 75% of P••••• A•••• M••••••••• H•••••• S•
      • P••••• • P••••••• · Shareholder
        indirect · owns 75% or more of P••••• & Cie Group Sa
      • P••••• C••••• L••• · Shareholder
        indirect · owns 75% or more of P••••• (L•••••) Ltd
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Employees · 9 to 7
        Sep 18, 2019 to Jan 15, 2020
      • Employees · 10 to 9
        Mar 29, 2018 to Mar 29, 2019
      • Charity clients · unset to 0.0
        Mar 29, 2017 to Mar 29, 2018
      • Corporate clients · unset to 0.0
        Mar 29, 2017 to Mar 29, 2018
      • HNW clients · unset to 0.0
        Mar 29, 2017 to Mar 29, 2018
      • Individual clients · unset to 0.0
        Mar 29, 2017 to Mar 29, 2018
      • Pension plan clients · unset to 0.0
        Mar 29, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 0.0
        Mar 29, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 29, 2017 to Mar 29, 2018
      • HNW RAUM · unset to 0.0
        Mar 29, 2017 to Mar 29, 2018
      • Individual RAUM · unset to 0.0
        Mar 29, 2017 to Mar 29, 2018
      • Pension RAUM · unset to 0.0
        Mar 29, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Mar 29, 2017 to Mar 29, 2018
      • Accounts · 0.0 to unset
        Nov 11, 2015 to Mar 29, 2016
      • Employees · 9 to 10
        Nov 11, 2015 to Mar 29, 2016
      • Discretionary RAUM · 0.0 to unset
        Nov 11, 2015 to Mar 29, 2016
      • Non-discretionary RAUM · 0.0 to unset
        Nov 11, 2015 to Mar 29, 2016
      • RAUM · 0.0 to unset
        Nov 11, 2015 to Mar 29, 2016
      • Employees · 6 to 9
        Mar 6, 2015 to Mar 13, 2015
      Signals
      5 dated events
      • J••••••••• G•••• (Director) appeared on Schedule A of P••••• A•••• M••••••••• I•••
        Jan 15, 2020 · Control person joined · fact
      • John Maratta (Director) no longer on Schedule A of P••••• A•••• M••••••••• I••• (listed 2019-09-18, absent 2020-01-15)
        Jan 15, 2020 · Control person left · inference
      • Claudia Gourde (Chief Compliance Officer) no longer on Schedule A of P••••• A•••• M••••••••• I••• (listed 2019-03-29, absent 2019-09-18)
        Sep 18, 2019 · Control person left · inference
      • Marie-Aude Gosselin (Chief Compliance Officer) appeared on Schedule A of P••••• A•••• M••••••••• I•••
        Sep 18, 2019 · Control person joined · fact
      • P••••• A•••• M••••••••• I••• filed its initial SEC registration (Form ADV)
        Mar 6, 2015 · 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