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.
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SEC-registered adviser
N•••••••• M•••••••••
Legal name N•••••••• M••••••••• •••• I••
Latest filing Dec 9, 2025
First filing on the tape Aug 24, 2020 · 31 filings
SEC status approved since Sep 30, 2020
RAUM
$115M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
93%
$107M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
129
109 advisory (5.B.1)
Offices
16
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$115M as of Dec 9, 2025
Dec 10, 2020$0 then
HNW client RAUM$89.7M as of Dec 9, 2025
Dec 10, 2020$0 then
State-registered IARs (5.B.3)0 as of Dec 9, 2025
Dec 10, 20200 then
Employees (5.A)129 as of Dec 9, 2025
Dec 10, 202026 then
Private funds: no history
RAUM +70% over the last fiscal year+90% a year over threeIARs 0 to 0offices 20 to 16
Practice profile
derived from the filing of Dec 9, 2025; every figure names its basis
Archetypes, each a printed rule
- b••• affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 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
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $884,834derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived17 offices incl. principal (1.F.5)
- RAUM growth, one year
- +39%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.7%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, otherreportedItem 5.G
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$89.7M79%
- Individuals$17.7M16%
- Corporations and businesses$6.4M5.6%
- Individual clients
- 53reported
- HNW clients
- 44reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 130reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=6.0derived
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• P•••••• · Directorcontrolsince 08/2022 · owns less than 5%
- B•••••• M•••• · Corporate Secretarycontrolsince 06/2024 · owns less than 5%
- B•••••• J••••••••• · Directorcontrolsince 07/2020 · owns less than 5%
- C••••• J••••••••• · Chief Compliance Officercontrolsince 07/2020 · owns less than 5%
- D•••••• L••• · Chief Operating Officercontrolsince 07/2020 · owns less than 5%
- D•••••••• J••••••• · Chief Executive Officer And Presidentcontrolsince 07/2020 · owns less than 5%
- F•••••••• S••••••• · President Of The Boardcontrolsince 02/2021 · owns less than 5%
- L••••• S•••• · Senior Vice President And National Managercontrolsince 05/2021 · owns less than 5%
- R•••• S•••••••• · Chief Financial Officercontrolsince 03/2023 · owns less than 5%
Entity owners
- N••••••• B••• A••••••••• H•••••• I••• · Direct Ownerdirect · owns 75% or more
- N••••••• B••• O• C••••• · Indirect Ownerindirect · owns 75% or more of N••••••• B••• A••••••••• H•••••• I•••
Related persons
Schedule D 7.A
- N••••• T•••• C••••••n
- N••••••• B••• F•••••••• I•••broker-dealern
- N••••••• B••• O• C•••••CPO or CTAy
- N••••••• B••• T•••• I•••n
- N•• F•••••••• S••••••• I•••real estaten
- N•• F•••••••• S••••••• L•••real estaten
Offices
Schedule D 1.F, the 25 largest
- Montreal, Quebec, Canada20 employees
- Joliette, Quebec, Canada4 employees
- Vancouver, British Columbia, Canada3 employees
- Toronto, Ontario, Canada3 employees
- Calgary, Alberta, Canada3 employees
- Granby, Quebec, Canada3 employees
- Brossard, Quebec, Canada2 employees
- Calgary, Alberta, Canada2 employees
- Chicoutimi, Quebec, Canada2 employees
- Duncan, British-Columbia, Canada2 employees
- Saint-Georges, Quebec, Canada2 employees
- Ottawa, Ontario, Canada1 employees
- Richmond Hill, Ontario, Canada1 employees
- Rimouski, Quebec, Canada1 employees
- Waterloo, Ontario, Canada1 employees
- London, Ontario, Canada1 employees
- Kelowna, British-Columbia, Canada1 employees
- Oakville, Ontario, Canada1 employees
What changed
consecutive filings, newest first
- Accounts · 97 to 130Oct 3, 2025 to Dec 9, 2025
- Advisory employees · 118 to 109Oct 3, 2025 to Dec 9, 2025
- BD registered reps · 5 to 6Oct 3, 2025 to Dec 9, 2025
- Corporate clients · unset to 3.0Oct 3, 2025 to Dec 9, 2025
- HNW clients · 34 to 44Oct 3, 2025 to Dec 9, 2025
- Individual clients · 43 to 53Oct 3, 2025 to Dec 9, 2025
- Employees · 171 to 129Oct 3, 2025 to Dec 9, 2025
- Other offices · 18 to 16Oct 3, 2025 to Dec 9, 2025
- Discretionary RAUM · $93.8M to $114MOct 3, 2025 to Dec 9, 2025
- HNW RAUM · $80.1M to $89.7MOct 3, 2025 to Dec 9, 2025
- Individual RAUM · $13.7M to $17.7MOct 3, 2025 to Dec 9, 2025
- Non-discretionary RAUM · $0 to $1.3MOct 3, 2025 to Dec 9, 2025
- RAUM · $93.8M to $115MOct 3, 2025 to Dec 9, 2025
- Advisory employees · 121 to 118Jun 12, 2025 to Oct 3, 2025
- Employees · 174 to 171Jun 12, 2025 to Oct 3, 2025
- Other offices · 19 to 18Jun 12, 2025 to Oct 3, 2025
- Related adviser · false to trueJun 12, 2025 to Oct 3, 2025
- Financial planning clients · unset to May 22, 2025 to Jun 12, 2025
- HQ state · unset to Dec 13, 2024 to May 22, 2025
- Accounts · 75 to 97Aug 20, 2024 to Dec 13, 2024
- Advisory employees · 122 to 121Aug 20, 2024 to Dec 13, 2024
- BD registered reps · 2 to 5Aug 20, 2024 to Dec 13, 2024
- HNW clients · 35 to 34Aug 20, 2024 to Dec 13, 2024
- Individual clients · 40 to 43Aug 20, 2024 to Dec 13, 2024
- Employees · 136 to 174Aug 20, 2024 to Dec 13, 2024
- Discretionary RAUM · $67.6M to $93.8MAug 20, 2024 to Dec 13, 2024
- HNW RAUM · $57.0M to $80.1MAug 20, 2024 to Dec 13, 2024
- Individual RAUM · $10.6M to $13.7MAug 20, 2024 to Dec 13, 2024
- RAUM · $67.6M to $93.8MAug 20, 2024 to Dec 13, 2024
- Other offices · 20 to 19Jul 23, 2024 to Aug 20, 2024
- Accounts · 57 to 75Oct 14, 2023 to Jan 30, 2024
- Advisory employees · 44 to 122Oct 14, 2023 to Jan 30, 2024
- Advisory activities · 1 to 2Oct 14, 2023 to Jan 30, 2024
- BD registered reps · 0 to 2Oct 14, 2023 to Jan 30, 2024
- HNW clients · 21 to 35Oct 14, 2023 to Jan 30, 2024
- Individual clients · 24 to 40Oct 14, 2023 to Jan 30, 2024
- Employees · 47 to 136Oct 14, 2023 to Jan 30, 2024
- Discretionary RAUM · $33.0M to $67.6MOct 14, 2023 to Jan 30, 2024
- HNW RAUM · $26.8M to $57.0MOct 14, 2023 to Jan 30, 2024
- Individual RAUM · $6.2M to $10.6MOct 14, 2023 to Jan 30, 2024
Signals
14 dated events
- M•••• B••••• (Corporate Secretary) appeared on Schedule A of N•••••••• M•••••••••Dec 13, 2024 · Control person joined · fact
- J•••• M••••••• (Chief Financial Officer) no longer on Schedule A of N•••••••• M••••••••• (listed 2023-02-28, absent 2023-03-24)Mar 24, 2023 · Control person left · inference
- S•••••••• R••• (Chief Financial Officer) appeared on Schedule A of N•••••••• M•••••••••Mar 24, 2023 · Control person joined · fact
- P•••••• B•••••• (Director) appeared on Schedule A of N•••••••• M•••••••••Aug 26, 2022 · Control person joined · fact
- Judith Menard (Director) no longer on Schedule A of N•••••••• M••••••••• (listed 2022-08-03, absent 2022-08-26)Aug 26, 2022 · Control person left · inference
- N•••••••• M••••••••• reported 11 offices beyond its principal office, up from 6 (2021-11-22 to 2022-01-31)Jan 31, 2022 · Office count change · derived
- S•••••••• R••• (Chief Financial Officer) no longer on Schedule A of N•••••••• M••••••••• (listed 2021-11-22, absent 2022-01-31)Jan 31, 2022 · Control person left · inference
- J•••• M••••••• (Chief Financial Officer) appeared on Schedule A of N•••••••• M•••••••••Jan 31, 2022 · Control person joined · fact
- S•••• L•••• (Director) appeared on Schedule A of N•••••••• M•••••••••Nov 22, 2021 · Control person joined · fact
- Stephane Fontaine (Director) appeared on Schedule A of N•••••••• M•••••••••Feb 9, 2021 · Control person joined · fact
- Judith Menard (Board Of Directors) appeared on Schedule A of N•••••••• M•••••••••Dec 10, 2020 · Control person joined · fact
- J••••••••• B••••• (Board Of Directors) appeared on Schedule A of N•••••••• M•••••••••Dec 10, 2020 · Control person joined · fact
- D•••• B••••••••• (Board Of Directors) appeared on Schedule A of N•••••••• M•••••••••Dec 10, 2020 · Control person joined · fact
- N•••••••• M••••••••• filed its initial SEC registration (Form ADV)Aug 24, 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.
How to reach
public business contact points only, each with its source
- Business phone
- 833-946-1589reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- n••••.careportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 833-946-1589reportedpublic record, Form ADV, Dec 9, 2025
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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026