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Former SEC-registered adviser

V•••• P••••••• I••••••••• C••••••

Former SEC-registered adviserWinnipeg, Manitoba, CRD 305404SEC 801-118112IAPD
Legal name V•••• P••••••• I••••••••• I•••
Latest filing Jan 10, 2023
First filing on the tape Jan 23, 2020 · 12 filings
RAUM
$2.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
17%
$340M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
54
6 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$2.0B as of Jun 29, 2022
Sep 1, 2020$1.5B then
HNW client RAUM$241M as of Jun 29, 2022
Sep 1, 2020$88.4M then
State-registered IARs (5.B.3)0 as of Jun 29, 2022
Sep 1, 20200 then
Employees (5.A)54 as of Jun 29, 2022
Sep 1, 202042 then
Private funds: no history
RAUM -2.2% over the last fiscal yearIARs 0 to 0offices 3 to 2
Practice profile
derived from the filing of Jan 10, 2023; 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
$1.2MderivedHNW RAUM over HNW clients
Average account
$3.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%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
-2.2%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+35%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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
  • Investment companies$1.5B78%
  • High-net-worth individuals$241M12%
  • Individuals$98.6M5.1%
  • Corporations and businesses$87.5M4.5%
  • Pooled investment vehicles$5.7M0.3%
Individual clients
314reported
HNW clients
198reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
605reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      • B•••• B•••••• M•• · Directorcontrol
        since 06/2022 · owns less than 5%
      • B••••••••• M•••••• D••• · Chief Financial Officercontrol
        since 01/2011 · owns less than 5%
      • F•••••• G••••• A••• · President, Director And Ultimate Designated Personcontrol
        since 10/2007 · owns less than 5%
      • G••••••• I••• R••••••• · Directorcontrol
        since 04/2014 · owns less than 5%
      • L•••••• P•••• J•••• · Chief Operating Officer, Secretary, And Directorcontrol
        since 04/2005 · owns less than 5%
      • S••••• A••• · Chief Compliance Officercontrol
        since 08/2018 · owns less than 5%
      • T•••••••• J•••• C•••••• · Directorcontrol
        since 06/2005 · owns less than 5%
      • L•••••• K•••••••• D•••• · Shareholdercontrol
        since 12/2022 · owns 75% or more of L•••••• L•••
      • L•••••• P•••• J•••• · Shareholdercontrol
        since 05/2005 · owns 75% or more of L•••••• L•••
      • L•••••• S•••• E•••• · Shareholdercontrol
        since 05/2005 · owns 75% or more of L•••••• L•••
      Entity owners
      • V•••• P••••••• G•••• I••• · Manager/Parent Company
        direct · owns 75% or more
      • 1••••••• M••••••• L••• · Shareholder
        indirect · owns 75% or more of L•••••• L•••
      • L•••••• L••• · Shareholder
        indirect · owns 50% to 75% of V•••• P••••••• G•••• I•••
      Related persons
      Schedule D 7.A
      • L••••• P••••••• I•••••••• • E••••• P••••••• L•••
        real estaten
      • L• F•••••••• P••••••• S••••••• L•••
        investment advisern
      Offices
      Schedule D 1.F, the 25 largest
      • Port Moody, Canada
      • Swift Current, Canada
      What changed
      consecutive filings, newest first
      • Other offices · 3 to 2
        Nov 3, 2022 to Jan 10, 2023
      • Accounts · 470 to 605
        Jun 30, 2021 to Jun 29, 2022
      • Advisory employees · 10 to 6
        Jun 30, 2021 to Jun 29, 2022
      • Corporate clients · 86 to 89
        Jun 30, 2021 to Jun 29, 2022
      • HNW clients · 105 to 198
        Jun 30, 2021 to Jun 29, 2022
      • Individual clients · 273 to 314
        Jun 30, 2021 to Jun 29, 2022
      • Employees · 50 to 54
        Jun 30, 2021 to Jun 29, 2022
      • Discretionary RAUM · $2.0B to $2.0B
        Jun 30, 2021 to Jun 29, 2022
      • HNW RAUM · $159M to $241M
        Jun 30, 2021 to Jun 29, 2022
      • Individual RAUM · $96.5M to $98.6M
        Jun 30, 2021 to Jun 29, 2022
      • Pooled vehicle RAUM · $5.9M to $5.7M
        Jun 30, 2021 to Jun 29, 2022
      • RAUM · $2.0B to $2.0B
        Jun 30, 2021 to Jun 29, 2022
      • Accounts · 295 to 470
        Feb 1, 2021 to Jun 29, 2021
      • Advisory employees · 11 to 10
        Feb 1, 2021 to Jun 29, 2021
      • Corporate clients · 49 to 86
        Feb 1, 2021 to Jun 29, 2021
      • HNW clients · 69 to 105
        Feb 1, 2021 to Jun 29, 2021
      • Individual clients · 171 to 273
        Feb 1, 2021 to Jun 29, 2021
      • Employees · 42 to 50
        Feb 1, 2021 to Jun 29, 2021
      • Discretionary RAUM · $1.5B to $2.0B
        Feb 1, 2021 to Jun 29, 2021
      • HNW RAUM · $88.4M to $159M
        Feb 1, 2021 to Jun 29, 2021
      • Individual RAUM · $49.3M to $96.5M
        Feb 1, 2021 to Jun 29, 2021
      • Pooled vehicle RAUM · $4.4M to $5.9M
        Feb 1, 2021 to Jun 29, 2021
      • RAUM · $1.5B to $2.0B
        Feb 1, 2021 to Jun 29, 2021
      • Accounts · 291 to 295
        Jan 23, 2020 to Jun 29, 2020
      • Corporate clients · 40 to 49
        Jan 23, 2020 to Jun 29, 2020
      • HNW clients · 87 to 69
        Jan 23, 2020 to Jun 29, 2020
      • Individual clients · 162 to 171
        Jan 23, 2020 to Jun 29, 2020
      • Pooled vehicle clients · unset to 1.0
        Jan 23, 2020 to Jun 29, 2020
      • Employees · 45 to 42
        Jan 23, 2020 to Jun 29, 2020
      • Discretionary RAUM · $1.0B to $1.5B
        Jan 23, 2020 to Jun 29, 2020
      • HNW RAUM · $83.3M to $88.4M
        Jan 23, 2020 to Jun 29, 2020
      • Individual RAUM · $47.6M to $49.3M
        Jan 23, 2020 to Jun 29, 2020
      • Pooled vehicle RAUM · unset to 4385207.0
        Jan 23, 2020 to Jun 29, 2020
      • RAUM · $1.0B to $1.5B
        Jan 23, 2020 to Jun 29, 2020
      • Business name · V•••• P••••••• I••••••••• I••• to V•••• P••••••• I••••••••• C••••••
        Jan 23, 2020 to Jan 23, 2020
      Signals
      5 dated events
      • May B••••• B••• (Director) appeared on Schedule A of V•••• P••••••• I••••••••• C••••••
        Jun 29, 2022 · Control person joined · fact
      • Andrea Jenifer Bartman (Director) no longer on Schedule A of V•••• P••••••• I••••••••• C•••••• (listed 2021-06-30, absent 2022-06-29)
        Jun 29, 2022 · Control person left · inference
      • V•••• P••••••• I••••••••• C•••••• reported RAUM $2.0B, up 35% from $1.5B (2021-02-01 to 2021-06-29)
        Jun 29, 2021 · RAUM change · derived
      • V•••• P••••••• I••••••••• C•••••• reported RAUM $1.5B, up 43% from $1.0B (2020-01-23 to 2020-06-29)
        Jun 29, 2020 · RAUM change · derived
      • V•••• P••••••• I••••••••• I••• filed its initial SEC registration (Form ADV)
        Jan 23, 2020 · 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