DFX Intelligence

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K••• H••••••• • P••••••• •••• I•••

Wealth manager with institutional or fund businessSEC-registered· Toronto, On

Wealth manager with institutional or fund business, based in Toronto, On, reporting $21.7M of regulatory assets across 4 registered advisors.

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

As of 2026-07-01 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $21.7M
Advisors: 4
Net advisor flow, 12 months: 0 (0 in, 0 out)
RAUM change, last fiscal year: +5.1%
Private clients: 22% of RAUM, $4.7M

Advisors (4)Advisor movement Where the RAUM sits

As of 2026-07-01 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

1 published business contact point is on record, each with its source.
Contact points 1

Every filed figure, and the identifiersCRD 282353 · SEC 801-107467 · 21 filingsShow

CRD 282353SEC 801-107467First filing on the tape Mar 15, 2016, latest Jul 1, 2026SEC status approved since Apr 4, 2016IAPD

RAUM

$21.7M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

22%

$4.7M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$5.4M

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

21 filings and snapshots on the tape

RAUM$21.7M as of Jul 1, 2026

Jan 17, 2017$15.0M then

HNW client RAUM$4.7M as of Jul 1, 2026

Feb 12, 2018$11.6M then

State-registered IARs (5.B.3)4 as of Jul 1, 2026

Jan 17, 20170 then

Employees (5.A)10 as of Jul 1, 2026

Jan 17, 20179 then

Private funds: no history

RAUM +5.1% over the last fiscal year+15% a year over threeIARs 4 to 4

Practice profile

derived from the filing of Jul 1, 2026; every figure names its basis

The rule behind each archetype, and every derived figureShow

RAUM per advisor: $5.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: $4.7MderivedHNW RAUM over HNW clients
Average account: $4.3MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.5derivedItem 5.A over advisors
Advisors per office: 4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +5.1%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: financial planning, portfolio management for individualsreportedItem 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

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)
receives research or other products from a broker-dealer, soft dollars (8.E)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Corporations and businesses$6.4M46%
High-net-worth individuals$4.7M34%
Pension and profit-sharing plans$2.7M20%

Individual clients: n/areported
HNW clients: 1reported
Pension plan clients: 1reported
Charitable clients: n/areported
Accounts: 5reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: private_client_share=0.22 fund_share=0.0 institutional_share=0.12 related_bd=true related_bank=false bd_reps=5.0derived

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

Every departure Every arrival

Advisors registered through the firm

4 on IAPD today; the 10 longest tenured

Name	Branch	Here since	In industry
K•••••• J•••• H•••••••Chartered Financial Analyst	Toronto, On	Apr 4, 2016	24 y
J••• A•••••• B•••• C••••Chartered Financial Analyst	Toronto, On	Apr 6, 2016	24 y
R••••• M••••••Chartered Financial Analyst	Toronto, On	Apr 14, 2023	13 y
A••••• C••••••Chartered Financial Analyst	Toronto, On	Mar 18, 2024	13 y

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

C••••• J•••• A•••••• B•••• · Ceo & President; Directorcontrol
since 05/2017 · owns less than 5%
F••••••• C•••••••• · Cfo; Directorcontrol
since 05/2017 · owns less than 5%
J•••••• S•••• · Chief Compliance Officercontrol
since 01/2016 · owns less than 5%
B•••••• P•••• · Director
since 05/2017 · owns less than 5%
B•••• S•••• · Director
since 05/2017 · owns less than 5%
L••••••••• P••••• · Director
since 05/2017 · owns less than 5%

Entity owners

H••••••• • P••••••• H••••••• I••• · Corporation
direct · owns 75% or more

Related persons

Schedule D 7.A

K••• H••••••• • P••••••• I•••
broker-dealern

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

BD registered reps · 7 to 5
Jan 29, 2025 to Mar 18, 2026
Corporate clients · unset to 2.0
Jan 29, 2025 to Mar 18, 2026
HNW clients · 4 to 1
Jan 29, 2025 to Mar 18, 2026
Employees · 9 to 10
Jan 29, 2025 to Mar 18, 2026
Discretionary RAUM · $20.7M to $21.7M
Jan 29, 2025 to Mar 18, 2026

Full history · 69 changes

HNW RAUM · $18.3M to $4.7M
Jan 29, 2025 to Mar 18, 2026
Pension RAUM · $2.4M to $2.7M
Jan 29, 2025 to Mar 18, 2026
RAUM · $20.7M to $21.7M
Jan 29, 2025 to Mar 18, 2026
Accounts · 4 to 5
Feb 14, 2024 to Jan 29, 2025
Advisory employees · 3 to 4
Feb 14, 2024 to Jan 29, 2025
BD registered reps · 6 to 7
Feb 14, 2024 to Jan 29, 2025
HNW clients · 3 to 4
Feb 14, 2024 to Jan 29, 2025
Financial planning clients · 0 to 0
Feb 14, 2024 to Jan 29, 2025
HQ state · unset to
Feb 14, 2024 to Jan 29, 2025
State-registered IARs · 3 to 4
Feb 14, 2024 to Jan 29, 2025
Discretionary RAUM · $16.1M to $20.7M
Feb 14, 2024 to Jan 29, 2025
HNW RAUM · $14.0M to $18.3M
Feb 14, 2024 to Jan 29, 2025
Pension RAUM · $2.1M to $2.4M
Feb 14, 2024 to Jan 29, 2025
RAUM · $16.1M to $20.7M
Feb 14, 2024 to Jan 29, 2025
Accounts · 6 to 4
Mar 3, 2023 to Feb 14, 2024
Advisory employees · 2 to 3
Mar 3, 2023 to Feb 14, 2024
HNW clients · 6 to 3
Mar 3, 2023 to Feb 14, 2024
Employees · 8 to 9
Mar 3, 2023 to Feb 14, 2024
State-registered IARs · 2 to 3
Mar 3, 2023 to Feb 14, 2024
Discretionary RAUM · $14.2M to $16.1M
Mar 3, 2023 to Feb 14, 2024
HNW RAUM · $12.2M to $14.0M
Mar 3, 2023 to Feb 14, 2024
Pension RAUM · $2.0M to $2.1M
Mar 3, 2023 to Feb 14, 2024
RAUM · $14.2M to $16.1M
Mar 3, 2023 to Feb 14, 2024
Accounts · 7 to 6
Mar 4, 2022 to Mar 3, 2023
HNW clients · 5 to 6
Mar 4, 2022 to Mar 3, 2023
Discretionary RAUM · $14.7M to $14.2M
Mar 4, 2022 to Mar 3, 2023
HNW RAUM · $12.7M to $12.2M
Mar 4, 2022 to Mar 3, 2023
Pension RAUM · $2.0M to $2.0M
Mar 4, 2022 to Mar 3, 2023
RAUM · $14.7M to $14.2M
Mar 4, 2022 to Mar 3, 2023
Discretionary RAUM · $12.6M to $14.7M
Feb 1, 2021 to Mar 4, 2022
HNW RAUM · $10.9M to $12.7M
Feb 1, 2021 to Mar 4, 2022
Pension RAUM · $1.7M to $2.0M
Feb 1, 2021 to Mar 4, 2022
RAUM · $12.6M to $14.7M
Feb 1, 2021 to Mar 4, 2022
Discretionary RAUM · $11.6M to $12.6M
Jun 26, 2020 to Feb 1, 2021
HNW RAUM · $10.1M to $10.9M
Jun 26, 2020 to Feb 1, 2021
Pension RAUM · $1.5M to $1.7M
Jun 26, 2020 to Feb 1, 2021
RAUM · $11.6M to $12.6M
Jun 26, 2020 to Feb 1, 2021
Discretionary RAUM · $10.5M to $11.6M
Mar 4, 2019 to Feb 27, 2020
HNW RAUM · $9.2M to $10.1M
Mar 4, 2019 to Feb 27, 2020
Pension RAUM · $1.3M to $1.5M
Mar 4, 2019 to Feb 27, 2020
RAUM · $10.5M to $11.6M
Mar 4, 2019 to Feb 27, 2020
Accounts · 8 to 7
Jun 13, 2018 to Mar 4, 2019
BD registered reps · 5 to 6
Jun 13, 2018 to Mar 4, 2019
HNW clients · 6 to 5
Jun 13, 2018 to Mar 4, 2019
Employees · 7 to 8
Jun 13, 2018 to Mar 4, 2019
Discretionary RAUM · $13.0M to $10.5M
Jun 13, 2018 to Mar 4, 2019
HNW RAUM · $11.6M to $9.2M
Jun 13, 2018 to Mar 4, 2019
Pension RAUM · $1.4M to $1.3M
Jun 13, 2018 to Mar 4, 2019
RAUM · $13.0M to $10.5M
Jun 13, 2018 to Mar 4, 2019
HNW clients · unset to 6.0
Sep 28, 2017 to Feb 12, 2018
Pension plan clients · unset to 1.0
Sep 28, 2017 to Feb 12, 2018
Other offices · unset to 0.0
Sep 28, 2017 to Feb 12, 2018
Discretionary RAUM · $15.0M to $13.0M
Sep 28, 2017 to Feb 12, 2018
HNW RAUM · unset to 11553700.0
Sep 28, 2017 to Feb 12, 2018
Pension RAUM · unset to 1396700.0
Sep 28, 2017 to Feb 12, 2018
RAUM · $15.0M to $13.0M
Sep 28, 2017 to Feb 12, 2018
BD registered reps · 7 to 5
Aug 30, 2017 to Sep 28, 2017
Employees · 9 to 7
Aug 30, 2017 to Sep 28, 2017
State-registered IARs · 0 to 2
Jan 17, 2017 to Aug 30, 2017
Accounts · 0 to 8
Nov 21, 2016 to Jan 17, 2017
State-registered IARs · 2 to 0
Nov 21, 2016 to Jan 17, 2017
Discretionary RAUM · $0 to $15.0M
Nov 21, 2016 to Jan 17, 2017
RAUM · $0 to $15.0M
Nov 21, 2016 to Jan 17, 2017
Financial planning clients · unset to 0
Mar 15, 2016 to Mar 29, 2016

Signals

13 dated events

••• Locked
Jul 1, 2026 · ria majority owner change · derived
••• Locked
Jul 1, 2026 · ria indirect owner change · fact
••• Locked
Jul 1, 2026 · ria indirect owner change · fact
••• Locked
Jul 1, 2026 · ria indirect owner change · fact
••• Locked
Jul 1, 2026 · ria indirect owner change · fact

Full timeline · 13 events

••• Locked
Jul 1, 2026 · ria indirect owner change · fact
••• Locked
Jul 1, 2026 · ria indirect owner change · fact
••• Locked
Jul 1, 2026 · ria indirect owner change · fact
••• Locked
Jul 1, 2026 · ria indirect owner change · fact
••• Locked
Jul 1, 2026 · ria majority owner change · fact
••• Locked
Jul 1, 2026 · ria majority owner change · fact
••• Locked
Mar 3, 2023 · Control person left · inference
••• Locked
Mar 15, 2016 · 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

Principal office phone: ••• Lockedreportedpublic record, Form ADV, Jul 1, 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: $5.4Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026