DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Wellington-Altus USA Inc.
Latest filing Jun 29, 2026
First filing on the tape Jun 22, 2018 · 22 filings
SEC status approved since Jul 31, 2018
RAUM
$146M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$146M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$48.7M
derived; firm RAUM over IAPD count
Employees
59
59 advisory (5.B.1)
Offices
20
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$146M as of Jun 29, 2026
Mar 24, 2019$0 then
HNW client RAUM$106M as of Jun 29, 2026
Mar 4, 2020$704,995 then
State-registered IARs (5.B.3)3 as of Jun 29, 2026
Mar 24, 20190 then
Employees (5.A)59 as of Jun 29, 2026
Mar 24, 20195 then
Private funds: no history
RAUM +15% over the last fiscal year+60% a year over threeIARs 3 to 3offices 32 to 20
Practice profile
derived from the filing of Jun 29, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $48.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 78derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $551,876derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 19.7derivedItem 5.A over advisors
- Advisors per office
- 0.1derived21 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +51%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $112MreportedItem 5.I
- Custody
- $16.7M, 6 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$106M72%
- Individuals$40.4M28%
- Individual clients
- 197reported
- HNW clients
- 36reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 265reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $16.7M for 6 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| George Gordon Love | Winnipeg, Manitoba | Nov 17, 2025 | 20 y | 0 |
| Keith Leslie Dyck | Winnipeg, Manitoba | Nov 20, 2025 | 17 y | 0 |
| David Craig Stovel | Winnipeg, Manitoba | Mar 13, 2026 | 13 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- David Craig Stovel from RBC Private Counsel (USA) Inc.Mar 13, 2026 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Gregory Shaun Hauser · Directorcontrolsince 12/2022 · owns less than 5%
- Diane Kimberly Shilton · Chief Compliance Officercontrolsince 05/2022 · owns less than 5%
- Douglas Charles Spiring · Shareholdercontrolsince 10/2016 · owns F of Wellington-Altus Financial Inc.
- Henry Xavier Francis Laferriere · President, Wausa, Executive Vice President, Digital Strategy & Compliance, Wafisince 07/2023 · owns less than 5%
- Dennis Stewner · Executive Vice President And Chief Financial Officersince 03/2023 · owns less than 5%
Entity owners
- Wellington-Altus Financial Inc. · Sole Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- Wellington-Altus Private Counsel Inc.investment advisern
- Wellington-Altus Private Wealth, Inc.broker-dealern
Offices
Schedule D 1.F, the 25 largest
- Toronto, Ontario, Canada16 employees
- Calgary, Alberta, Canada6 employees
- Vancouver, British Columbia, Canada5 employees
- Winnipeg, Manitoba, Canada3 employees
- Calgary, Alberta, Canada3 employees
- Calgary, Alberta, Canada3 employees
- Toronto, Ontario, Canada3 employees
- Moncton, Nb, Canada2 employees
- Montreal, Quebec, Canada2 employees
- Cranbrook, British Columbia, Canada1 employees
- Dartmouth, Nova Scotia, Canada1 employees
- Kelowna, British Columbia, Canada1 employees
- Lethbridge, Alberta, Canada1 employees
- Markham, Ontario, Canada1 employees
- Aurora, Ontario, Canada1 employees
- Brandon, Manitoba, Canada1 employees
- North York, Ontario, Canada1 employees
- Pointe-Claire, Quebec, Canada1 employees
- Saskatoon, Saskatchewan, Canada1 employees
- Squamish, British Columbia, Canada1 employees
- Swift Current, Saskatchewan, Canada1 employees
- Thunder Bay, Canada1 employees
- Calgary, Alberta, Canada1 employees
- Calgary, Alberta, Canada1 employees
- Burlington, Ontario, Canada1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- client count surgeChange between filings · filing Feb 13, 2026individual and HNW clients (Item 5.D) moved from 154.0 to 233.0 (+51.0%) between the annual amendments of 2025-02-28 and 2026-02-13; the peer median change was +3.0% (3310 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,310) · 97% percentile
What changed
consecutive filings, newest first
- Advisory employees · 58 to 59Feb 13, 2026 to Jun 29, 2026
- Employees · 58 to 59Feb 13, 2026 to Jun 29, 2026
- State-registered IARs · 2 to 3Feb 13, 2026 to Jun 29, 2026
- Accounts · 240 to 265Dec 16, 2025 to Feb 13, 2026
- Advisory employees · 69 to 58Dec 16, 2025 to Feb 13, 2026
- HNW clients · 28 to 36Dec 16, 2025 to Feb 13, 2026
- Individual clients · 126 to 197Dec 16, 2025 to Feb 13, 2026
- Assets in custody · unset to 16700000.0Dec 16, 2025 to Feb 13, 2026
- Custody of client assets · false to trueDec 16, 2025 to Feb 13, 2026
- Employees · 72 to 58Dec 16, 2025 to Feb 13, 2026
- State-registered IARs · 3 to 2Dec 16, 2025 to Feb 13, 2026
- Other offices · 32 to 20Dec 16, 2025 to Feb 13, 2026
- Discretionary RAUM · $127M to $146MDec 16, 2025 to Feb 13, 2026
- HNW RAUM · $88.9M to $106MDec 16, 2025 to Feb 13, 2026
- Individual RAUM · $38.0M to $40.4MDec 16, 2025 to Feb 13, 2026
- RAUM · $127M to $146MDec 16, 2025 to Feb 13, 2026
- Wrap assets (sponsor) · $127M to $0Dec 16, 2025 to Feb 13, 2026
- Financial planning clients · unset to Feb 28, 2025 to Jul 21, 2025
- Accounts · 192 to 240Aug 27, 2024 to Feb 28, 2025
- Advisory employees · 48 to 69Aug 27, 2024 to Feb 28, 2025
- Individual clients · 110 to 126Aug 27, 2024 to Feb 28, 2025
- Employees · 51 to 72Aug 27, 2024 to Feb 28, 2025
- HQ state · unset to Aug 27, 2024 to Feb 28, 2025
- State-registered IARs · 5 to 3Aug 27, 2024 to Feb 28, 2025
- Discretionary RAUM · $84.1M to $127MAug 27, 2024 to Feb 28, 2025
- HNW RAUM · $57.6M to $88.9MAug 27, 2024 to Feb 28, 2025
- Individual RAUM · $26.5M to $38.0MAug 27, 2024 to Feb 28, 2025
- RAUM · $84.1M to $127MAug 27, 2024 to Feb 28, 2025
- Wrap assets (sponsor) · $0 to $127MAug 27, 2024 to Feb 28, 2025
- Accounts · 118 to 192Mar 3, 2023 to Mar 1, 2024
- Advisory employees · 34 to 48Mar 3, 2023 to Mar 1, 2024
- Advisory activities · 2 to 1Mar 3, 2023 to Mar 1, 2024
- HNW clients · 33 to 28Mar 3, 2023 to Mar 1, 2024
- Individual clients · 58 to 110Mar 3, 2023 to Mar 1, 2024
- Employees · 42 to 51Mar 3, 2023 to Mar 1, 2024
- Financial planning clients · 0 to unsetMar 3, 2023 to Mar 1, 2024
- State-registered IARs · 2 to 5Mar 3, 2023 to Mar 1, 2024
- Discretionary RAUM · $35.6M to $84.1MMar 3, 2023 to Mar 1, 2024
- HNW RAUM · $28.8M to $57.6MMar 3, 2023 to Mar 1, 2024
- Individual RAUM · $6.9M to $26.5MMar 3, 2023 to Mar 1, 2024
Signals
19 dated events
- Wellington-Altus Usa Inc. reported 20 offices beyond its principal office, down from 32 (2025-12-16 to 2026-02-13)Feb 13, 2026 · Office count change · derived
- Douglas Charles Spiring (Shareholder) appeared on Schedule A of Wellington-Altus Usa Inc.Mar 1, 2024 · Control person joined · fact
- Blake George Trevor Coates (Chief Financial Officer And Executive Vice-President) no longer on Schedule A of Wellington-Altus Usa Inc. (listed 2023-03-03, absent 2024-03-01)Mar 1, 2024 · Control person left · inference
- Marie Paula Kaner (President) no longer on Schedule A of Wellington-Altus Usa Inc. (listed 2023-03-03, absent 2024-03-01)Mar 1, 2024 · Control person left · inference
- Warren Jordy Chilcott (Executive Vice-President, Wealth Strategy & Enablement) no longer on Schedule A of Wellington-Altus Usa Inc. (listed 2022-11-04, absent 2023-03-03)Mar 3, 2023 · Control person left · inference
- Wellington-Altus Usa Inc. reported 32 offices beyond its principal office, up from 13 (2022-11-04 to 2023-03-03)Mar 3, 2023 · Office count change · derived
- William Blaine Coates (Executive Vice-President) no longer on Schedule A of Wellington-Altus Usa Inc. (listed 2022-11-04, absent 2023-03-03)Mar 3, 2023 · Control person left · inference
- Richard Daniel Stoller (Chief Operating Officer) no longer on Schedule A of Wellington-Altus Usa Inc. (listed 2022-11-04, absent 2023-03-03)Mar 3, 2023 · Control person left · inference
- Curtis Todd Degelman (Director, Vice-Chair) no longer on Schedule A of Wellington-Altus Usa Inc. (listed 2022-11-04, absent 2023-03-03)Mar 3, 2023 · Control person left · inference
- Brian Hayward (Director) no longer on Schedule A of Wellington-Altus Usa Inc. (listed 2022-11-04, absent 2023-03-03)Mar 3, 2023 · Control person left · inference
- Diane Kimberly Shilton (Chief Compliance Officer) appeared on Schedule A of Wellington-Altus Usa Inc.Jun 9, 2022 · Control person joined · fact
- Lillian Darlene Munro (Interim Chief Compliance Officer) no longer on Schedule A of Wellington-Altus Usa Inc. (listed 2021-06-22, absent 2022-02-28)Feb 28, 2022 · Control person left · inference
- Warren Jordy Chilcott (Executive Vice-President, Wealth Strategy & Enablement) appeared on Schedule A of Wellington-Altus Usa Inc.Jun 22, 2021 · Control person joined · fact
- Marie Paula Kaner (Executive Vice-President, Chief Risk Officer) appeared on Schedule A of Wellington-Altus Usa Inc.Jun 22, 2021 · Control person joined · fact
- Edward Graham Robson (Executive Vice-President, Chief Compliance Officer, General Counsel, Corporate Secretary) no longer on Schedule A of Wellington-Altus Usa Inc. (listed 2021-04-06, absent 2021-05-12)May 12, 2021 · Control person left · inference
- Lillian Darlene Munro (Interim Chief Compliance Officer) appeared on Schedule A of Wellington-Altus Usa Inc.May 12, 2021 · Control person joined · fact
- Wellington-Altus Usa Inc. reported 5 offices beyond its principal office, up from 0 (2020-03-04 to 2020-03-11)Mar 11, 2020 · Office count change · derived
- Richard Daniel Stoller (Chief Operating Officer) appeared on Schedule A of Wellington-Altus Usa Inc.Mar 4, 2020 · Control person joined · fact
- Wellington-Altus Usa Inc. filed its initial SEC registration (Form ADV)Jun 22, 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
- Principal office phone
- 888-315-8729reportedpublic record, Form ADV, Jun 29, 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
- $48.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026