DFX Intelligence

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SEC-registered adviser

A•• G••••• L••

Independent wealth managerNew York, New YorkCRD 286049SEC 801-111757website IAPD

Latest filing Feb 25, 2026

First filing on the tape Aug 28, 2017 · 22 filings

SEC status approved since Sep 27, 2017

RAUM

$133M

reported, Item 5.F

Discretionary

16%

of RAUM

Private clients

86%

$114M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

22 filings and snapshots on the tape

RAUM$133M as of Feb 25, 2026

Mar 31, 2018$25.1M then

HNW client RAUM$114M as of Feb 25, 2026

Mar 31, 2018$520,342 then

State-registered IARs (5.B.3)0 as of Feb 25, 2026

Mar 31, 20180 then

Employees (5.A)4 as of Feb 25, 2026

Mar 31, 20188 then

Private funds: no history

RAUM +5.5% over the last fiscal year+51% a year over threeIARs 0 to 0offices 1 to 2

Practice profile

derived from the filing of Feb 25, 2026; every figure names its basis

Archetypes, each a printed rule

UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M

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: $22.7MderivedHNW RAUM over HNW clients
Average account: $8.9MderivedRAUM over accounts (5.F.2.f)
Discretionary: 16%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year: +5.5%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 assets, performance-basedreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutions, 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

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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$114M87%
Corporations and businesses$16.9M13%

Individual clients: n/areported
HNW clients: 5reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 15reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, performancereported
Class basis: private_client_share=0.86 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false 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

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

S•••••••• A•••• · Chief Executive Officer, Cio, Ccocontrol
since 10/2016 · owns 75% or more

Related persons

Schedule D 7.A

A•••••• R••••••• I••••••••• A••••••• I•••
investment advisery

Offices

Schedule D 1.F, the 25 largest

Montreal, Qc, Canada4 employees

What changed

consecutive filings, newest first

Discretionary RAUM · $19.7M to $21.8M
May 2, 2025 to Feb 25, 2026
HNW RAUM · $109M to $114M
May 2, 2025 to Feb 25, 2026
Non-discretionary RAUM · $106M to $111M
May 2, 2025 to Feb 25, 2026
RAUM · $126M to $133M
May 2, 2025 to Feb 25, 2026
Financial planning clients · unset to
Apr 2, 2025 to May 2, 2025
Other offices · 1 to 2
Apr 2, 2025 to May 2, 2025
Accounts · 14 to 15
Nov 15, 2024 to Apr 2, 2025
Advisory employees · 5 to 4
Nov 15, 2024 to Apr 2, 2025
Business name · A•••••• R••••••• I••••••••• L•• to A•• G••••• L••
Nov 15, 2024 to Apr 2, 2025
Corporate clients · unset to 3.0
Nov 15, 2024 to Apr 2, 2025
HNW clients · 8 to 5
Nov 15, 2024 to Apr 2, 2025
Employees · 7 to 4
Nov 15, 2024 to Apr 2, 2025
Legal name · A•• G•••• LLC to A•• G••••• L••
Nov 15, 2024 to Apr 2, 2025
Discretionary RAUM · $37.5M to $19.7M
Nov 15, 2024 to Apr 2, 2025
HNW RAUM · $102M to $109M
Nov 15, 2024 to Apr 2, 2025
Non-discretionary RAUM · $64.6M to $106M
Nov 15, 2024 to Apr 2, 2025
RAUM · $102M to $126M
Nov 15, 2024 to Apr 2, 2025
Legal name · A•••••• R••••••• I••••••••• L•• to A•• G•••• LLC
Mar 28, 2024 to Nov 15, 2024
Accounts · 13 to 14
Mar 10, 2023 to Mar 28, 2024
Advisory activities · 2 to 3
Mar 10, 2023 to Mar 28, 2024
HNW clients · unset to 8.0
Mar 10, 2023 to Mar 28, 2024
Discretionary RAUM · $38.4M to $37.5M
Mar 10, 2023 to Mar 28, 2024
HNW RAUM · $10.2M to $102M
Mar 10, 2023 to Mar 28, 2024
Non-discretionary RAUM · $0 to $64.6M
Mar 10, 2023 to Mar 28, 2024
RAUM · $38.4M to $102M
Mar 10, 2023 to Mar 28, 2024
Accounts · 25 to 13
Mar 24, 2022 to Mar 10, 2023
Discretionary RAUM · $696M to $38.4M
Mar 24, 2022 to Mar 10, 2023
HNW RAUM · $2.5M to $10.2M
Mar 24, 2022 to Mar 10, 2023
Individual RAUM · 8820537.0 to unset
Mar 24, 2022 to Mar 10, 2023
RAUM · $696M to $38.4M
Mar 24, 2022 to Mar 10, 2023
Accounts · 26 to 25
Aug 4, 2021 to Mar 24, 2022
Advisory employees · 4 to 5
Aug 4, 2021 to Mar 24, 2022
Employees · 8 to 7
Aug 4, 2021 to Mar 24, 2022
Discretionary RAUM · $695M to $696M
Aug 4, 2021 to Mar 24, 2022
HNW RAUM · $2.6M to $2.5M
Aug 4, 2021 to Mar 24, 2022
Individual RAUM · $9.4M to $8.8M
Aug 4, 2021 to Mar 24, 2022
Pension RAUM · 110384403.0 to unset
Aug 4, 2021 to Mar 24, 2022
RAUM · $695M to $696M
Aug 4, 2021 to Mar 24, 2022
Related adviser · false to true
Aug 4, 2021 to Mar 24, 2022
Accounts · 13 to 26
Jun 26, 2020 to Mar 30, 2021

Signals

3 dated events

••• Locked
Mar 10, 2023 · RAUM change · derived
••• Locked
Mar 30, 2021 · RAUM change · derived
••• Locked
Aug 28, 2017 · 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

Business phone: 212-419-0573reportedpublished by the firm, firm site, Sep 17, 2026
Business phone: 514-907-9473reportedpublished by the firm, firm site, Sep 17, 2026
Website: w••.a•••••••••.comreportedpublic record, Form ADV, Feb 25, 2026
Principal office phone: (212) 419-0400reportedpublic record, Form ADV, Feb 25, 2026
Contact form: a•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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: Independent wealth managerderiveda 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