DFX Intelligence

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C••••• R•••• A•••• M••••••••• L••••••

Asset manager (funds and pooled vehicles)SEC-registered1 private funds· Toronto, Ontariowebsite

Asset manager (funds and pooled vehicles), based in Toronto, Ontario, reporting $301M of regulatory assets.

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

As of 2026-06-12 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $301M
Advisors: 0
RAUM change, 1 year: +56%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-06-12 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

+55.9%
RAUM, one year
RAUM $193M to $301M (+55.9%) on the Form ADV filed 12 Jun 2026.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 309774 · SEC 801-120571 · 10 filingsShow

CRD 309774SEC 801-120571First filing on the tape Feb 18, 2021, latest Jun 12, 2026SEC status approved since Mar 22, 2021IAPD

RAUM

$301M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

10 filings and snapshots on the tape

RAUM +31% a year over three years · the tape starts Feb 18, 2021

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

RAUM$301M as of Jun 12, 2026

Mar 31, 2022$92.6M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Jun 12, 2026

Mar 31, 20220 then

Employees (5.A)8 as of Jun 12, 2026

Mar 31, 20227 then

Private funds1 as of Jun 12, 2026

Mar 31, 20222 then

RAUM +56% over the last fiscal year+31% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Jun 12, 2026; every figure names its basis

The rule behind each archetype, and every derived figureShow

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: $50.1MderivedRAUM 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: unknownderived4 offices incl. principal (1.F.5)
RAUM growth, one year: +56%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 pooled vehiclesreportedItem 5.G
Custody: $13.1M, 3 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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

100% pooled investment vehicles

The breakdown by client type, and the client counts1 client typesShow

Pooled investment vehicles$301M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 6reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $13.1M for 3 clientsreported
Compensation: % of AUM, performancereported
Class basis: private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived

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

2 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
C••••• R•••• A••• ••••••• L•••	Hedge Fund	$13.1M	2	Feb 18, 2021
C••••• R•••• •••••••• L•no longer reported	Hedge Fund	$1.8M	8	Sep 21, 2020

Owners and control persons

Schedule A and B, latest filing

B••••••••• J•••• · Chief Compliance Officercontrol
since 09/2024 · owns less than 5%
B•••••• A•••••• •••• · Chief Scientific Officercontrol
since 02/2016 · owns 10% to 25%
D• V••••••••• A••••• J•••••• A•••••• · Chief Executive Officercontrol
since 02/2016 · owns 10% to 25%
P••••••••• M••••••• P••• · Chief Investment Officercontrol
since 02/2016 · owns 10% to 25%
C•••••••• R•••••• M•••••• · Chief Executive Officercontrol
since 12/2020 · owns 75% or more of 9••••• O•••••• I•••

All 7 control persons

R••••••••• J•••••• R••••• · Trusteecontrol
since 12/2020 · owns F of J••••• R•••••••• R•••••••• T••••
W•••• T•••••••• •••• · Chief Executive Officercontrol
since 08/2018 · owns 75% or more of B•••••••• V••••••• C•••••••••

Entity owners

9••••• O•••••• I••• · Shareholder
direct · owns 5% to 10%
B•••••••• V••••••• C••••••••• · Shareholder
direct · owns 5% to 10%
J••••• R•••••••• R•••••••• T•••• · Shareholder
direct · owns 10% to 25%

Related persons

Schedule D 7.A

C••••• R•••• L••••••
pooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

New York, NY1 employees
, 1 employees

ADV anomalies

1 against comparable advisers; where to look, not conclusions

RAUM up 50 %Change between filings · filing Mar 27, 2026
RAUM (Item 5.F) moved from $192,977,475 to $300,830,149 (+56.0%) between the annual amendments of 2025-03-27 and 2026-03-27; the peer median change was +4.0% (1141 comparable advisers, 92.0th percentile of changes)
peers: asset managers, $100M to $500M (1,141) · 92% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 4 to 6
Mar 27, 2025 to Mar 27, 2026
Pooled vehicle clients · 4 to 6
Mar 27, 2025 to Mar 27, 2026
Assets in custody · $16.7M to $13.1M
Mar 27, 2025 to Mar 27, 2026
Discretionary RAUM · $193M to $301M
Mar 27, 2025 to Mar 27, 2026
Pooled vehicle RAUM · $193M to $301M
Mar 27, 2025 to Mar 27, 2026

Full history · 37 changes

RAUM · $193M to $301M
Mar 27, 2025 to Mar 27, 2026
Accounts · 7 to 4
Oct 10, 2024 to Mar 27, 2025
Advisory activities · 2 to 1
Oct 10, 2024 to Mar 27, 2025
Pooled vehicle clients · 7 to 4
Oct 10, 2024 to Mar 27, 2025
Assets in custody · $17.2M to $16.7M
Oct 10, 2024 to Mar 27, 2025
Employees · 7 to 8
Oct 10, 2024 to Mar 27, 2025
Financial planning clients · unset to
Oct 10, 2024 to Mar 27, 2025
HQ state · unset to
Oct 10, 2024 to Mar 27, 2025
Private funds · 2 to 1
Oct 10, 2024 to Mar 27, 2025
Discretionary RAUM · $191M to $193M
Oct 10, 2024 to Mar 27, 2025
Pooled vehicle RAUM · $191M to $193M
Oct 10, 2024 to Mar 27, 2025
RAUM · $191M to $193M
Oct 10, 2024 to Mar 27, 2025
Accounts · 10 to 7
Mar 30, 2023 to Mar 28, 2024
Pooled vehicle clients · 8 to 7
Mar 30, 2023 to Mar 28, 2024
Assets in custody · $69.3M to $17.2M
Mar 30, 2023 to Mar 28, 2024
Discretionary RAUM · $135M to $191M
Mar 30, 2023 to Mar 28, 2024
Pooled vehicle RAUM · $135M to $191M
Mar 30, 2023 to Mar 28, 2024
RAUM · $135M to $191M
Mar 30, 2023 to Mar 28, 2024
Pooled vehicle clients · 7 to 8
Nov 28, 2022 to Mar 30, 2023
Assets in custody · $64.8M to $69.3M
Nov 28, 2022 to Mar 30, 2023
Discretionary RAUM · $92.6M to $135M
Nov 28, 2022 to Mar 30, 2023
Pooled vehicle RAUM · $89.8M to $135M
Nov 28, 2022 to Mar 30, 2023
RAUM · $92.6M to $135M
Nov 28, 2022 to Mar 30, 2023
Accounts · 12 to 10
Feb 24, 2021 to Mar 31, 2022
Pooled vehicle clients · 10 to 7
Feb 24, 2021 to Mar 31, 2022
Assets in custody · $49.3M to $64.8M
Feb 24, 2021 to Mar 31, 2022
Employees · 6 to 7
Feb 24, 2021 to Mar 31, 2022
Other offices · 2 to 3
Feb 24, 2021 to Mar 31, 2022
Discretionary RAUM · $80.5M to $92.6M
Feb 24, 2021 to Mar 31, 2022
Pooled vehicle RAUM · $76.0M to $89.8M
Feb 24, 2021 to Mar 31, 2022
RAUM · $80.5M to $92.6M
Feb 24, 2021 to Mar 31, 2022
Private funds · 4 to 2
Feb 18, 2021 to Feb 24, 2021

Signals

6 dated events

••• Locked
Jun 12, 2026 · private fund no longer reported · inference
••• Locked
Jun 12, 2026 · ria ownership band change · fact
••• Locked
Mar 27, 2026 · RAUM change · derived
••• Locked
Oct 10, 2024 · Control person joined · fact
••• Locked
Feb 24, 2021 · ria registration change · fact

Full timeline · 6 events

••• Locked
Feb 18, 2021 · 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

Website: ••• Lockedreportedpublic record, Form ADV, Jun 12, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Jun 12, 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: Asset manager (funds and pooled vehicles)deriveda 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.