DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

Former SEC-registered adviser

E•••••• I••••••••• R•••••••• I•••

Former SEC-registered adviserCalgary, CRD 282571SEC 801-107276IAPD
Latest filing Mar 28, 2024
First filing on the tape Feb 9, 2016 · 15 filings
SEC status approved since Feb 16, 2016
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
90
65 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM: no history
HNW client RAUM$0 as of Mar 28, 2024
Mar 28, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 28, 2024
Mar 30, 20170 then
Employees (5.A)90 as of Mar 28, 2024
Mar 30, 201770 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2024; 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
fixed fees, subscriptionreportedItem 5.E
Advisory activities
publications, 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
  • marketing includes testimonials (5.L.1.c)
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
n/areported
Charitable clients
0reported
Accounts
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixedreported
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
      • S••••• G•••••• C••••••• · Director, Head Of I•••••••••control
        since 07/2021 · owns less than 5%
      • S••••••••• S•••• · Secretary, Directorcontrol
        since 02/2020 · owns less than 5%
      • W•••••••• M••••••• T••• · Chief Compliance Officer
        since 07/2021 · owns less than 5%
      Entity owners
      • R• E••••• G•••• U•••• I••• · Parent
        direct · owns 75% or more
      • E•••••• H•••••••• I••• · Owner
        indirect · owns 75% or more of T•••• D• I••••••••• H••••••• I•••
      • E•••••• H•••••••• I••• · Owner
        indirect · owns 75% or more of E••••••• I•••
      • E••••••• I••• · Owner
        indirect · owns 75% or more of R• E••••• G•••• T••••• I•••
      • H•• E•••••• H•••••••• L••• ••••••• · Owner
        indirect · owns 50% to 75% of E•••••• H•••••••• I•••
      • H•••••• • F••••••• C•••••• P••••••• I• ••••••••• L••• · Limited Partner
        indirect · owns 25% to 50% of H•• E•••••• H•••••••• L••• •••••••
      • H•••••• • F••••••• C•••••• P••••••• I•• L••• · Limited Partner
        indirect · owns 50% to 75% of H•• E•••••• H•••••••• L••• •••••••
      • R• E••••• G•••• M••••• I••• · Parent
        indirect · owns 75% or more of R• E••••• G•••• U•••• I•••
      • R• E••••• G•••• T••••• I••• · Parent
        indirect · owns 75% or more of R• E••••• G•••• M••••• I•••
      • T•••• D• I••••••••• H••••••• I••• · Owner
        indirect · owns 75% or more of E•••••• H•••••••• I•••
      Related persons
      Schedule D 7.A
      • I•••••••• T•••• C••••••• L••
        real estaten
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 100 to 65
        Mar 29, 2023 to Mar 28, 2024
      • Corporate clients · 260 to 220
        Mar 29, 2023 to Mar 28, 2024
      • Employees · 120 to 90
        Mar 29, 2023 to Mar 28, 2024
      • Corporate clients · 250 to 260
        Jun 7, 2022 to Mar 29, 2023
      • Employees · 130 to 120
        Jun 7, 2022 to Mar 29, 2023
      • Corporate clients · 157 to 250
        Jul 9, 2021 to Mar 29, 2022
      • Business name · R• E••••• G•••• C•••••• I••• to E•••••• I••••••••• R•••••••• I•••
        Dec 23, 2020 to Mar 31, 2021
      • Pension plan clients · 3.0 to unset
        Dec 23, 2020 to Mar 31, 2021
      • Pooled vehicle clients · 125 to 0
        Dec 23, 2020 to Mar 31, 2021
      • Legal name · R• E••••• G•••• C•••••• I••• to E•••••• I••••••••• R•••••••• I•••
        Dec 23, 2020 to Mar 31, 2021
      • Advisory employees · 85 to 100
        Apr 16, 2020 to Dec 23, 2020
      • Employees · 180 to 130
        Apr 16, 2020 to Dec 23, 2020
      • Corporate clients · 135 to 157
        Mar 28, 2019 to Mar 27, 2020
      • Pooled vehicle clients · 147 to 125
        Mar 28, 2019 to Mar 27, 2020
      • Advisory employees · 61 to 85
        Apr 12, 2018 to Mar 28, 2019
      • Corporate clients · 123 to 135
        Apr 12, 2018 to Mar 28, 2019
      • Pension plan clients · 2 to 3
        Apr 12, 2018 to Mar 28, 2019
      • Pooled vehicle clients · 152 to 147
        Apr 12, 2018 to Mar 28, 2019
      • Commission compensation · true to false
        Apr 12, 2018 to Mar 28, 2019
      • Employees · 114 to 180
        Apr 12, 2018 to Mar 28, 2019
      • Advisory employees · 40 to 61
        Mar 30, 2017 to Mar 28, 2018
      • Charity clients · unset to 0.0
        Mar 30, 2017 to Mar 28, 2018
      • Corporate clients · unset to 123.0
        Mar 30, 2017 to Mar 28, 2018
      • HNW clients · unset to 0.0
        Mar 30, 2017 to Mar 28, 2018
      • Individual clients · unset to 0.0
        Mar 30, 2017 to Mar 28, 2018
      • Pension plan clients · unset to 2.0
        Mar 30, 2017 to Mar 28, 2018
      • Pooled vehicle clients · unset to 152.0
        Mar 30, 2017 to Mar 28, 2018
      • Employees · 70 to 114
        Mar 30, 2017 to Mar 28, 2018
      • Other offices · unset to 0.0
        Mar 30, 2017 to Mar 28, 2018
      • HNW RAUM · unset to 0.0
        Mar 30, 2017 to Mar 28, 2018
      • Individual RAUM · unset to 0.0
        Mar 30, 2017 to Mar 28, 2018
      • Pension RAUM · unset to 0.0
        Mar 30, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Mar 30, 2017 to Mar 28, 2018
      • Advisory employees · 43 to 40
        Dec 14, 2016 to Mar 30, 2017
      • Commission compensation · false to true
        Dec 14, 2016 to Mar 30, 2017
      • Employees · 45 to 70
        Dec 14, 2016 to Mar 30, 2017
      Signals
      13 dated events
      • E•••••• I••••••••• R•••••••• I••• no longer on the SEC adviser roster (last listed 2025-01-02)
        Feb 3, 2025 · Left the SEC roster · derived
      • L••••••• J•••• J•••••• (Senior Executive Consultant And Cco) no longer on Schedule A of E•••••• I••••••••• R•••••••• I••• (listed 2021-03-31, absent 2021-07-09)
        Jul 9, 2021 · Control person left · inference
      • W•••••• T••••• S•••• (Co-Head Of Intelligence) no longer on Schedule A of E•••••• I••••••••• R•••••••• I••• (listed 2021-03-31, absent 2021-07-09)
        Jul 9, 2021 · Control person left · inference
      • Singh Manuj Nikhang (Co-President) no longer on Schedule A of E•••••• I••••••••• R•••••••• I••• (listed 2020-12-23, absent 2021-03-31)
        Mar 31, 2021 · Control person left · inference
      • C••••••• G••••• S•••• (Co-Head Of Intelligence) appeared on Schedule A of E•••••• I••••••••• R•••••••• I•••
        Mar 31, 2021 · Control person joined · fact
      • W•••••• T••••• S•••• (Co-Head Of Intelligence) appeared on Schedule A of E•••••• I••••••••• R•••••••• I•••
        Mar 31, 2021 · Control person joined · fact
      • David Piazza (Cfo) no longer on Schedule A of E•••••• I••••••••• R•••••••• I••• (listed 2020-04-16, absent 2020-12-23)
        Dec 23, 2020 · Control person left · inference
      • Jeffrey Hughes (Ceo) no longer on Schedule A of E•••••• I••••••••• R•••••••• I••• (listed 2020-04-16, absent 2020-12-23)
        Dec 23, 2020 · Control person left · inference
      • R•••• L•••• T••••••••• (Cco) no longer on Schedule A of E•••••• I••••••••• R•••••••• I••• (listed 2020-03-27, absent 2020-04-16)
        Apr 16, 2020 · Control person left · inference
      • Shawn Shillington (Secretary) appeared on Schedule A of E•••••• I••••••••• R•••••••• I•••
        Mar 27, 2020 · Control person joined · fact
      • David Piazza (Cfo) appeared on Schedule A of E•••••• I••••••••• R•••••••• I•••
        Mar 27, 2020 · Control person joined · fact
      • Jeffrey Hughes (Ceo) appeared on Schedule A of E•••••• I••••••••• R•••••••• I•••
        Mar 27, 2020 · Control person joined · fact
      • R• E••••• G•••• C•••••• I••• filed its initial SEC registration (Form ADV)
        Feb 9, 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.
      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