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
B•••••• G••• C•••••• P••••••• I•••
Latest filing May 21, 2026
First filing on the tape Apr 28, 2015 · 22 filings
SEC status approved since May 11, 2015
RAUM
$1.5B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
21%
$311M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$1.5B
derived; firm RAUM over IAPD count
Employees
22
12 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$1.5B as of May 21, 2026
May 27, 2016$652M then
HNW client RAUM$278M as of May 21, 2026
May 25, 2018$14.2M then
State-registered IARs (5.B.3)0 as of May 21, 2026
May 27, 20160 then
Employees (5.A)22 as of May 21, 2026
May 27, 201614 then
Private funds: 1
RAUM -19% over the last fiscal year-3.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 21, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $1.5BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 647derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $570,610derivedHNW RAUM over HNW clients
- Average account
- $2.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 15%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 22.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.4%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$877M58%
- High-net-worth individuals$278M18%
- Pension and profit-sharing plans$153M10%
- Corporations and businesses$95.7M6.3%
- Charitable organizations$69.0M4.6%
- Individuals$33.1M2.2%
- Other investment advisers$7.0M0.5%
- Individual clients
- 160reported
- HNW clients
- 487reported
- Pension plan clients
- n/areported
- Charitable clients
- 20reported
- Accounts
- 726reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $395M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.21 fund_share=0.58 institutional_share=0.15 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| I••• E•••••Chartered Financial Analyst | Toronto | Jun 24, 2022 | 10 y | 0 |
| J•••• R••• M•••••Chartered Financial Analyst | Toronto | Sep 16, 2026 | 10 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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B•••••• G••• U• E••••• F••• L••no longer reported | Hedge Fund | $670,834 | 2 | May 27, 2016 |
Owners and control persons
Schedule A and B, latest filing
- C••••••••• M••••••• · President, Shareholder, Directorcontrolsince 12/2014 · owns 10% to 25%
- E•••••• I••• · Chief Investment Officer, Shareholdercontrolsince 02/2019 · owns 5% to 10%
- H•••• G•••••• R•••••• · Chief Executive Officer, Director, Shareholdercontrolsince 12/2009 · owns 25% to 50%
- H•••• P••••••• D•••• · Chief Operating Officer, Director And Shareholdercontrolsince 02/2024 · owns 5% to 10%
- S••••• M•••••• J••• · Chief Financial Officer, Chief Compliance Officer, Secretary And Shareholdercontrolsince 11/2019 · owns 5% to 10%
- H•••• G•••••• R•••••• · Director And Shareholdercontrolsince 09/2018 · owns 75% or more of C•••• V••••••• L•••
- L••••••••• W••••••• J••• · Director And Shareholdercontrolsince 09/2003 · owns 75% or more of A••••••••• C•••••• P••••••• L•••
- L••••••••• W••••••• J••• · Chair, Directorsince 05/2016 · owns 5% to 10%
- M••••••• J••••••• R••• · Directorsince 05/2017 · owns less than 5%
- S••••• M•••• L••••••• · Directorsince 05/2021 · owns less than 5%
- T•••••• K•••••••• M••••••• · Shareholdersince 05/2018 · owns 5% to 10%
Entity owners
- C•••• V••••••• L••• · Shareholderdirect · owns 25% to 50%
- A••••••••• C•••••• P••••••• L••• · Shareholderdirect · owns 5% to 10%
Related persons
Schedule D 7.A
- B•••••• G••• D••••••• G•••••• P•••••• I•••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 881 to 726May 23, 2025 to May 21, 2026
- Advisory employees · 11 to 12May 23, 2025 to May 21, 2026
- Charity clients · 19 to 20May 23, 2025 to May 21, 2026
- Corporate clients · 77 to 49May 23, 2025 to May 21, 2026
- HNW clients · 575 to 487May 23, 2025 to May 21, 2026
- Individual clients · 199 to 160May 23, 2025 to May 21, 2026
- Pooled vehicle clients · 9 to 8May 23, 2025 to May 21, 2026
- Employees · 20 to 22May 23, 2025 to May 21, 2026
- Discretionary RAUM · $2.1B to $1.5BMay 23, 2025 to May 21, 2026
- HNW RAUM · $381M to $278MMay 23, 2025 to May 21, 2026
- Individual RAUM · $35.6M to $33.1MMay 23, 2025 to May 21, 2026
- Pension RAUM · $145M to $153MMay 23, 2025 to May 21, 2026
- Pooled vehicle RAUM · $1.3B to $877MMay 23, 2025 to May 21, 2026
- RAUM · $2.1B to $1.5BMay 23, 2025 to May 21, 2026
- Wrap assets (manager) · $570M to $395MMay 23, 2025 to May 21, 2026
- Accounts · 897 to 881Feb 5, 2025 to May 23, 2025
- Advisory employees · 13 to 11Feb 5, 2025 to May 23, 2025
- Charity clients · 21 to 19Feb 5, 2025 to May 23, 2025
- Corporate clients · 83 to 77Feb 5, 2025 to May 23, 2025
- HNW clients · 590 to 575Feb 5, 2025 to May 23, 2025
- Individual clients · 192 to 199Feb 5, 2025 to May 23, 2025
- Financial planning clients · unset to Feb 5, 2025 to May 23, 2025
- Discretionary RAUM · $2.2B to $2.1BFeb 5, 2025 to May 23, 2025
- HNW RAUM · $378M to $381MFeb 5, 2025 to May 23, 2025
- Individual RAUM · $34.8M to $35.6MFeb 5, 2025 to May 23, 2025
- Pension RAUM · $141M to $145MFeb 5, 2025 to May 23, 2025
- Pooled vehicle RAUM · $1.3B to $1.3BFeb 5, 2025 to May 23, 2025
- RAUM · $2.2B to $2.1BFeb 5, 2025 to May 23, 2025
- Wrap assets (manager) · $600M to $570MFeb 5, 2025 to May 23, 2025
- HQ state · unset to May 24, 2024 to Feb 5, 2025
- Accounts · 873 to 897Feb 29, 2024 to May 24, 2024
- Advisory employees · 12 to 13Feb 29, 2024 to May 24, 2024
- Charity clients · 23 to 21Feb 29, 2024 to May 24, 2024
- Corporate clients · 84 to 83Feb 29, 2024 to May 24, 2024
- HNW clients · 558 to 590Feb 29, 2024 to May 24, 2024
- Individual clients · 198 to 192Feb 29, 2024 to May 24, 2024
- Employees · 19 to 20Feb 29, 2024 to May 24, 2024
- Discretionary RAUM · $1.9B to $2.2BFeb 29, 2024 to May 24, 2024
- HNW RAUM · $319M to $378MFeb 29, 2024 to May 24, 2024
- Individual RAUM · $30.9M to $34.8MFeb 29, 2024 to May 24, 2024
Signals
9 dated events
- I••• E••••• no longer holds an investment adviser registration (last listed at B•••••• G••• C•••••• P••••••• I••• on the 2026-09-16 feed)Sep 16, 2026 · Advisor registration ended · derived
- J•••• R••• M••••• registered as an investment adviser representative at B•••••• G••• C•••••• P••••••• I•••Sep 16, 2026 · Advisor registered · fact
- B•••••• G••• C•••••• P••••••• I••• reported RAUM $1.5B, down 27% from $2.1B (2025-05-23 to 2026-05-21)May 21, 2026 · RAUM change · derived
- D•••• P•••••• H••• (Chief Operating Officer And Shareholder) appeared on Schedule A of B•••••• G••• C•••••• P••••••• I•••Feb 29, 2024 · Control person joined · fact
- B•••••• G••• C•••••• P••••••• I••• reported RAUM $1.7B, up 75% from $971.4M (2020-06-12 to 2021-05-03)May 3, 2021 · RAUM change · derived
- Peter Allan Simmie (Director, Vice Chair, Shareholder) no longer on Schedule A of B•••••• G••• C•••••• P••••••• I••• (listed 2020-06-12, absent 2021-05-03)May 3, 2021 · Control person left · inference
- John Marcus Spain (Chief Financial Officer) appeared on Schedule A of B•••••• G••• C•••••• P••••••• I•••Nov 19, 2019 · Control person joined · fact
- L••••• W••• (Chief Financial Officer) no longer on Schedule A of B•••••• G••• C•••••• P••••••• I••• (listed 2019-01-10, absent 2019-05-24)May 24, 2019 · Control person left · inference
- B•••••• G••• C•••••• P••••••• I••• filed its initial SEC registration (Form ADV)Apr 28, 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.
How to reach
public business contact points only, each with its source
- Website
- B••••••G•••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 416-921-7076reportedpublic record, Form ADV, May 21, 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
- $1.5Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026