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
R•••••• A•••• M••••••••• I•••
Latest filing Mar 30, 2026
First filing on the tape Dec 11, 2015 · 26 filings
SEC status approved since Jan 7, 2016
RAUM
$70.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
37%
$26.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
14
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$70.2M as of Mar 30, 2026
Mar 29, 2016$210M then
HNW client RAUM$26.0M as of Mar 30, 2026
Feb 22, 2018$13.5M then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 29, 20160 then
Employees (5.A)14 as of Mar 30, 2026
Mar 29, 20169 then
Private funds3 as of Apr 1, 2020
Feb 22, 20183 then
RAUM -25% over the last fiscal year-30% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- dual wealth and asset m•••••• · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- 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
- $23.4MderivedRAUM 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
- -25%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for investment companiesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$44.2M63%
- High-net-worth individuals$26.0M37%
- Individual clients
- 0reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.37 fund_share=0.63 institutional_share=0.0 related_bd=false related_bank=true 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
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R•••••• E•••••••• F••• S••• C••••• M••••• F•••no longer reported | Hedge Fund | $62.1M | 3 | Feb 22, 2018 |
| R•••••• E•••••••• U• F••••• F•••no longer reported | Hedge Fund | $46.1M | 21 | Feb 22, 2018 |
| R•••••• E•••••••• O••••••• F••••• F•••no longer reported | Hedge Fund | $23.4M | 11 | Feb 22, 2018 |
| C••••• E••••••• M•••••• P••••••• S••• A•••• D••••••••• S•••no longer reported | Hedge Fund | $16.2M | 3 | Jul 30, 2018 |
| A•••• D••••••••• F••• •••• L••no longer reported | Hedge Fund | $1.2M | 6 | Jul 30, 2018 |
Owners and control persons
Schedule A and B, latest filing
- D•••••••• C•••••• A•• · Cco And Presidentcontrolsince 09/2023 · owns less than 5%
- B•••••• A•••• D••••• · Shareholdercontrolsince 09/2023 · owns 25% to 50% of R•••••• A•••• M••••••••• S•••
- P••••••••• M••••••• L••••••• · Shareholdercontrolsince 09/2023 · owns 25% to 50% of R•••••• A•••• M••••••••• S•••
Entity owners
- M••••• O•• H••••••• I•• · Ownerdirect · owns 75% or more
- R•••••• A•••• M••••••••• S••• · Shareholderindirect · owns 25% to 50% of M••••• O•• H••••••• I••
Related persons
Schedule D 7.A
No related person reported.
Advisers that list R•••••• A•••• M••••••••• I••• as a related person
- 309036 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Mar 30, 2026discretionary share of RAUM moved from 76.0% to 100.0% between the annual amendments of 2025-03-28 and 2026-03-30peers: independent wealth managers, under $100M (707)
What changed
consecutive filings, newest first
- Advisory employees · 4 to 5Mar 28, 2025 to Mar 30, 2026
- HNW clients · 2.0 to unsetMar 28, 2025 to Mar 30, 2026
- Employees · 13 to 14Mar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $71.3M to $70.2MMar 28, 2025 to Mar 30, 2026
- HNW RAUM · $22.5M to $26.0MMar 28, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $22.5M to $0Mar 28, 2025 to Mar 30, 2026
- RAUM · $93.8M to $70.2MMar 28, 2025 to Mar 30, 2026
- Accounts · 8 to 3Jul 8, 2024 to Mar 28, 2025
- Advisory activities · 4 to 2Jul 8, 2024 to Mar 28, 2025
- HNW clients · 3 to 2Jul 8, 2024 to Mar 28, 2025
- Individual clients · 4 to 0Jul 8, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 0Jul 8, 2024 to Mar 28, 2025
- HQ state · unset to Jul 8, 2024 to Mar 28, 2025
- Discretionary RAUM · $95.5M to $71.3MJul 8, 2024 to Mar 28, 2025
- HNW RAUM · $268M to $22.5MJul 8, 2024 to Mar 28, 2025
- Individual RAUM · 231672.0 to unsetJul 8, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $269M to $22.5MJul 8, 2024 to Mar 28, 2025
- RAUM · $364M to $93.8MJul 8, 2024 to Mar 28, 2025
- Accounts · 14 to 8Dec 13, 2023 to Mar 20, 2024
- Advisory employees · 5 to 4Dec 13, 2023 to Mar 20, 2024
- HNW clients · 1 to 3Dec 13, 2023 to Mar 20, 2024
- Individual clients · 12 to 4Dec 13, 2023 to Mar 20, 2024
- Discretionary RAUM · $170M to $95.5MDec 13, 2023 to Mar 20, 2024
- HNW RAUM · $32.2M to $268MDec 13, 2023 to Mar 20, 2024
- Individual RAUM · $235,202 to $231,672Dec 13, 2023 to Mar 20, 2024
- Non-discretionary RAUM · $32.4M to $269MDec 13, 2023 to Mar 20, 2024
- RAUM · $202M to $364MDec 13, 2023 to Mar 20, 2024
- Employees · 12 to 13Mar 30, 2023 to Dec 13, 2023
- Accounts · 41 to 14Mar 29, 2022 to Mar 29, 2023
- Advisory employees · 6 to 5Mar 29, 2022 to Mar 29, 2023
- Advisory activities · 5 to 4Mar 29, 2022 to Mar 29, 2023
- HNW clients · 4 to 1Mar 29, 2022 to Mar 29, 2023
- Individual clients · 36 to 12Mar 29, 2022 to Mar 29, 2023
- Employees · 11 to 12Mar 29, 2022 to Mar 29, 2023
- Discretionary RAUM · $127M to $170MMar 29, 2022 to Mar 29, 2023
- HNW RAUM · $52.2M to $32.2MMar 29, 2022 to Mar 29, 2023
- Individual RAUM · $8.9M to $235,202Mar 29, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $24,117 to $32.4MMar 29, 2022 to Mar 29, 2023
- RAUM · $127M to $202MMar 29, 2022 to Mar 29, 2023
- Accounts · 54 to 41Mar 31, 2021 to Mar 29, 2022
Signals
12 dated events
- R•••••• A•••• M••••••••• I••• reported RAUM $93.8M, down 74% from $364.2M (2024-07-08 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- R•••••• A•••• M••••••••• I••• reported RAUM $364.2M, up 80% from $201.9M (2023-12-13 to 2024-03-20)Mar 20, 2024 · RAUM change · derived
- J•••• R•••••• (Trustee) no longer on Schedule A of R•••••• A•••• M••••••••• I••• (listed 2023-03-30, absent 2023-12-13)Dec 13, 2023 · Control person left · inference
- Ann C••••• D••••••• (Cco And President) appeared on Schedule A of R•••••• A•••• M••••••••• I•••Dec 13, 2023 · Control person joined · fact
- Leighton Michael Philbrick (Shareholder) appeared on Schedule A of R•••••• A•••• M••••••••• I•••Dec 13, 2023 · Control person joined · fact
- Donald Adam Butler (Shareholder) appeared on Schedule A of R•••••• A•••• M••••••••• I•••Dec 13, 2023 · Control person joined · fact
- Robert Douglas Hole (Director) no longer on Schedule A of R•••••• A•••• M••••••••• I••• (listed 2020-11-30, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Leighton Michael Philbrick (Chief Compliance Officer) no longer on Schedule A of R•••••• A•••• M••••••••• I••• (listed 2020-11-30, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- N••••••• M••••• (Head Of Futures) no longer on Schedule A of R•••••• A•••• M••••••••• I••• (listed 2020-11-30, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Donald Adam Butler (Chief Executive Officer) no longer on Schedule A of R•••••• A•••• M••••••••• I••• (listed 2020-11-30, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Hector Rodrigo Gordillo (President) no longer on Schedule A of R•••••• A•••• M••••••••• I••• (listed 2020-11-30, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- R•••••• A•••• M••••••••• I••• filed its initial SEC registration (Form ADV)Dec 11, 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
- Firm profile
- LINKEDIN.COM/COMPANY/R••••••-INC-/?ORIGINALSUBDOMAIN=CAreportedpublic record, Form ADV, Sep 19, 2026
- Website
- investresolve.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 416-572-5474reportedpublic record, Form ADV, Mar 30, 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