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Former SEC-registered adviser

C••••• A•••••• R••••••• I•••

Former SEC-registered adviserCRD 293558SEC 801-114744IAPD
Latest filing Jan 27, 2022
First filing on the tape Jan 25, 2019 · 6 filings
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
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM: no history
HNW client RAUM$0 as of Jan 27, 2022
Jan 23, 2020$0 then
State-registered IARs (5.B.3)0 as of Jan 27, 2022
Jan 23, 20200 then
Employees (5.A)3 as of Jan 27, 2022
Jan 23, 20204 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jan 27, 2022; 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
hourly, fixed feesreportedItem 5.E
Advisory activities
pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
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
2reported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixed, hourlyreported
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
      • I•••••••• T•• · Presidentcontrol
        since 11/2013 · owns 75% or more
      • V••••• V••••• · Managing Director/Chief Compliance Officercontrol
        since 06/2017 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 3 to 2
        Jan 29, 2021 to Nov 3, 2021
      • Charity clients · 1.0 to unset
        Jan 29, 2021 to Nov 3, 2021
      • Pension plan clients · 1 to 2
        Jan 29, 2021 to Nov 3, 2021
      • Employees · 4 to 3
        Jan 29, 2021 to Nov 3, 2021
      • Advisory employees · 4 to 3
        Jan 23, 2020 to Jan 29, 2021
      • Pension plan clients · 0 to 1
        Jan 23, 2020 to Jan 29, 2021
      • HQ city · TORONTO, ONTARIO to unset
        Jan 23, 2020 to Jan 29, 2021
      Signals
      2 dated events
      • V••••• V•••• (Managing Director/Chief Compliance Officer) appeared on Schedule A of C••••• A•••••• R••••••• I•••
        Jan 31, 2019 · Control person joined · fact
      • C••••• A•••••• R••••••• I••• filed its initial SEC registration (Form ADV)
        Jan 25, 2019 · 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