DFX Intelligence

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L•••• S•••••••• W••••• M••••••••• I•••

Independent wealth managerSEC-registered· Montreal, Quebecwebsite

Independent wealth manager, based in Montreal, Quebec, reporting $814M of regulatory assets.

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

As of 2026-03-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $814M
Advisors: 0
RAUM change, 1 year: +24%
Private clients: 54%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-03-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 27 Mar 2026, RAUM $654M to $814M (+24.5%) on the Form ADV filed 27 Mar 2026.

Every filed figure, and the identifiersCRD 290262 · SEC 801-113179 · 14 filingsShow

CRD 290262SEC 801-113179First filing on the tape Apr 6, 2018, latest Mar 27, 2026SEC status approved since May 7, 2018IAPD

RAUM

$814M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

54%

$438M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

11 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

14 filings and snapshots on the tape

RAUM +19% a year over three years · the tape starts Apr 6, 2018

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$814M as of Mar 27, 2026

Mar 20, 2019$393M then

HNW client RAUM$401M as of Mar 27, 2026

Mar 20, 2019$157M then

State-registered IARs (5.B.3)0 as of Mar 27, 2026

Mar 20, 20190 then

Employees (5.A)16 as of Mar 27, 2026

Mar 20, 201910 then

Private funds: no history

RAUM +24% over the last fiscal year+19% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 27, 2026; every figure names its basis

Archetypes

Dual wealth and asset manager

The rule behind each archetype, and every derived figure1 ruleShow

Dual wealth and asset manager · 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: $1.3MderivedHNW RAUM over HNW clients
Average account: $314,909derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.1%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: +24%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: +5.5%derived
Compensation: percentage of assets, performance-basedreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)

Where the RAUM sits

Form ADV Item 5.D, latest filing

49% high-net-worth individuals, 46% pooled investment vehicles, and 2 other client types

The breakdown by client type, and the client counts4 client typesShow

High-net-worth individuals$401M49%
Pooled investment vehicles$376M46%
Individuals$37.3M4.6%
Charitable organizations$494,6060.1%

Individual clients: 740reported
HNW clients: 304reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 2,586reported
Financial planning clients: 51-100reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, performancereported
Class basis: RAUM: 54% private clients, 46% pooled funds, 0% institutions; no related broker-dealer; no related bankderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

S••••• G••••••• · Chief Compliance Officercontrol
since 11/2010 · owns less than 5%
S••••••••• L•••• · Presidentcontrol
since 04/2009 · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

Toronto, Ontario, Canada2 employees

What changed

consecutive filings, newest first

Accounts · 2,229 to 2,586
Oct 1, 2025 to Mar 27, 2026
Advisory employees · 12 to 11
Oct 1, 2025 to Mar 27, 2026
HNW clients · 246 to 304
Oct 1, 2025 to Mar 27, 2026
Individual clients · 744 to 740
Oct 1, 2025 to Mar 27, 2026
Discretionary RAUM · $654M to $814M
Oct 1, 2025 to Mar 27, 2026

Full history · 80 changes

HNW RAUM · $291M to $401M
Oct 1, 2025 to Mar 27, 2026
Individual RAUM · $49.7M to $37.3M
Oct 1, 2025 to Mar 27, 2026
Pooled vehicle RAUM · $311M to $376M
Oct 1, 2025 to Mar 27, 2026
RAUM · $654M to $814M
Oct 1, 2025 to Mar 27, 2026
Accounts · 2,120 to 2,229
Aug 24, 2024 to Mar 19, 2025
Advisory employees · 11 to 12
Aug 24, 2024 to Mar 19, 2025
HNW clients · 198 to 246
Aug 24, 2024 to Mar 19, 2025
Individual clients · 723 to 744
Aug 24, 2024 to Mar 19, 2025
Employees · 15 to 16
Aug 24, 2024 to Mar 19, 2025
Financial planning clients · 51-100 to 51-100
Aug 24, 2024 to Mar 19, 2025
HQ state · unset to
Aug 24, 2024 to Mar 19, 2025
Other offices · 1 to 2
Aug 24, 2024 to Mar 19, 2025
Discretionary RAUM · $593M to $654M
Aug 24, 2024 to Mar 19, 2025
HNW RAUM · $242M to $291M
Aug 24, 2024 to Mar 19, 2025
Individual RAUM · $50.1M to $49.7M
Aug 24, 2024 to Mar 19, 2025
Pooled vehicle RAUM · $284M to $311M
Aug 24, 2024 to Mar 19, 2025
RAUM · $593M to $654M
Aug 24, 2024 to Mar 19, 2025
Accounts · 1,849 to 2,120
Mar 29, 2023 to Mar 18, 2024
HNW clients · 165 to 198
Mar 29, 2023 to Mar 18, 2024
Individual clients · 690 to 723
Mar 29, 2023 to Mar 18, 2024
Employees · 14 to 15
Mar 29, 2023 to Mar 18, 2024
Financial planning clients · 26-50 to 51-100
Mar 29, 2023 to Mar 18, 2024
Discretionary RAUM · $489M to $593M
Mar 29, 2023 to Mar 18, 2024
HNW RAUM · $143M to $242M
Mar 29, 2023 to Mar 18, 2024
Individual RAUM · $76.6M to $50.1M
Mar 29, 2023 to Mar 18, 2024
Pooled vehicle RAUM · $255M to $284M
Mar 29, 2023 to Mar 18, 2024
RAUM · $489M to $593M
Mar 29, 2023 to Mar 18, 2024
Accounts · 838 to 1,849
Apr 27, 2022 to Mar 29, 2023
Advisory employees · 9 to 11
Apr 27, 2022 to Mar 29, 2023
Charity clients · 3.0 to unset
Apr 27, 2022 to Mar 29, 2023
HNW clients · 189 to 165
Apr 27, 2022 to Mar 29, 2023
Individual clients · 641 to 690
Apr 27, 2022 to Mar 29, 2023
Employees · 12 to 14
Apr 27, 2022 to Mar 29, 2023
Financial planning clients · 11-25 to 26-50
Apr 27, 2022 to Mar 29, 2023
Discretionary RAUM · $564M to $489M
Apr 27, 2022 to Mar 29, 2023
HNW RAUM · $233M to $143M
Apr 27, 2022 to Mar 29, 2023
Individual RAUM · $34.3M to $76.6M
Apr 27, 2022 to Mar 29, 2023
Non-discretionary RAUM · $13.9M to $0
Apr 27, 2022 to Mar 29, 2023
Pooled vehicle RAUM · $294M to $255M
Apr 27, 2022 to Mar 29, 2023
RAUM · $578M to $489M
Apr 27, 2022 to Mar 29, 2023
Accounts · 805 to 838
Mar 31, 2021 to Mar 30, 2022
Charity clients · 2 to 3
Mar 31, 2021 to Mar 30, 2022
HNW clients · 177 to 189
Mar 31, 2021 to Mar 30, 2022
Individual clients · 626 to 641
Mar 31, 2021 to Mar 30, 2022
Discretionary RAUM · $456M to $564M
Mar 31, 2021 to Mar 30, 2022
HNW RAUM · $193M to $233M
Mar 31, 2021 to Mar 30, 2022
Individual RAUM · $31.1M to $34.3M
Mar 31, 2021 to Mar 30, 2022
Non-discretionary RAUM · $9.5M to $13.9M
Mar 31, 2021 to Mar 30, 2022
Pooled vehicle RAUM · $240M to $294M
Mar 31, 2021 to Mar 30, 2022
RAUM · $466M to $578M
Mar 31, 2021 to Mar 30, 2022
Accounts · 885 to 805
Jun 29, 2020 to Mar 31, 2021
HNW clients · 170 to 177
Jun 29, 2020 to Mar 31, 2021
Individual clients · 610 to 626
Jun 29, 2020 to Mar 31, 2021
Pooled vehicle clients · 2 to 3
Jun 29, 2020 to Mar 31, 2021
Employees · 10 to 12
Jun 29, 2020 to Mar 31, 2021
Discretionary RAUM · $450M to $456M
Jun 29, 2020 to Mar 31, 2021
HNW RAUM · $190M to $193M
Jun 29, 2020 to Mar 31, 2021
Individual RAUM · $23.6M to $31.1M
Jun 29, 2020 to Mar 31, 2021
Non-discretionary RAUM · $7.5M to $9.5M
Jun 29, 2020 to Mar 31, 2021
Pooled vehicle RAUM · $243M to $240M
Jun 29, 2020 to Mar 31, 2021
RAUM · $458M to $466M
Jun 29, 2020 to Mar 31, 2021
Accounts · 631 to 885
Mar 20, 2019 to Mar 30, 2020
Advisory employees · 8 to 9
Mar 20, 2019 to Mar 30, 2020
HNW clients · 65 to 170
Mar 20, 2019 to Mar 30, 2020
Individual clients · 562 to 610
Mar 20, 2019 to Mar 30, 2020
Discretionary RAUM · $385M to $450M
Mar 20, 2019 to Mar 30, 2020
HNW RAUM · $157M to $190M
Mar 20, 2019 to Mar 30, 2020
Individual RAUM · $31.0M to $23.6M
Mar 20, 2019 to Mar 30, 2020
Non-discretionary RAUM · $8.2M to $7.5M
Mar 20, 2019 to Mar 30, 2020
Pooled vehicle RAUM · $205M to $243M
Mar 20, 2019 to Mar 30, 2020
RAUM · $393M to $458M
Mar 20, 2019 to Mar 30, 2020
Accounts · 570 to 631
Apr 6, 2018 to Mar 20, 2019
Charity clients · 1 to 2
Apr 6, 2018 to Mar 20, 2019
HNW clients · 82 to 65
Apr 6, 2018 to Mar 20, 2019
Individual clients · 485 to 562
Apr 6, 2018 to Mar 20, 2019

Signals

7 dated events

••• Locked
Mar 27, 2026 · ria principal change · fact
••• Locked
Mar 27, 2026 · ria indirect owner change · fact
••• Locked
Mar 27, 2026 · ria indirect owner change · fact
••• Locked
Mar 27, 2026 · Control person joined · fact
••• Locked
Mar 27, 2026 · ria ownership band change · fact

Full timeline · 7 events

••• Locked
Mar 27, 2026 · ria office opened · fact
••• Locked
Apr 6, 2018 · 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: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Mar 27, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 27, 2026
Contact form: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Not yet on record: net advisor flow, 12 months.