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.

Former SEC-registered adviser

Bmo Direct Invest Inc.

Former SEC-registered adviserChicago, IllinoisCRD 317064SEC 801-123005IAPD
Latest filing Aug 27, 2024
First filing on the tape Dec 8, 2021 · 23 filings
RAUM
$4.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$4.7M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$4.7M as of Mar 29, 2024
Mar 31, 2022$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 29, 2024
Mar 31, 20225 then
Employees (5.A)5 as of Mar 29, 2024
Mar 31, 202220 then
Private funds: no history
RAUM +300% over the last fiscal yearIARs 0 to 4
Practice profile
derived from the filing of Aug 27, 2024; every figure names its basis
RAUM per advisor
$1.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
45derivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$30,267derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+300%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+134%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Wrap fee program
$4.7MreportedItem 5.I
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
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$4.7M100%
Individual clients
178reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
154reported
Financial planning clients
1-10reported
Wrap fee programs
$4.7M sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Bindu Alvar Thiruvenkadathan · Directorcontrol
    since 05/2022 · owns less than 5%
  • Jaleh Leslie Anderson · Directorcontrol
    since 08/2023 · owns less than 5%
  • Andrea Carolyn Booth · Directorcontrol
    since 08/2021 · owns less than 5%
  • Paul Dilda · Directorcontrol
    since 08/2021 · owns less than 5%
  • William Wallace Harris · Directorcontrol
    since 08/2021 · owns less than 5%
  • Otis Charles Hopkins · Smart Portfolio Managercontrol
    since 08/2023 · owns less than 5%
  • Patrick George Lace · Chief Financial Officercontrol
    since 03/2022 · owns less than 5%
  • Ann Stephanie Lake · Presidentcontrol
    since 09/2022 · owns less than 5%
  • Paul Jeffrey Pruitt · Chief Compliance Officercontrol
    since 11/2023 · owns less than 5%
Entity owners
  • Bmo Financial Corp · Sole Shareholder
    direct · owns 75% or more
  • Bank Of Montreal · Sole Owner
    indirect · owns 75% or more of Bmo Financial Corp · public reporting company
Related persons
Schedule D 7.A
Advisers that list Bmo Direct Invest Inc. as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Phoenix, Az000
Tucson, Az000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 66 to 154
    Nov 8, 2023 to Mar 29, 2024
  • Advisory employees · 3 to 0
    Nov 8, 2023 to Mar 29, 2024
  • BD registered reps · 3 to 0
    Nov 8, 2023 to Mar 29, 2024
  • Individual clients · 76 to 178
    Nov 8, 2023 to Mar 29, 2024
  • Assets in custody · 10000.0 to unset
    Nov 8, 2023 to Mar 29, 2024
  • Custody of client assets · true to false
    Nov 8, 2023 to Mar 29, 2024
  • Employees · 4 to 5
    Nov 8, 2023 to Mar 29, 2024
  • Insurance-licensed employees · 3 to 0
    Nov 8, 2023 to Mar 29, 2024
  • Financial planning clients · 0 to 1-10
    Nov 8, 2023 to Mar 29, 2024
  • State-registered IARs · 0 to 4
    Nov 8, 2023 to Mar 29, 2024
  • Discretionary RAUM · $1.2M to $4.7M
    Nov 8, 2023 to Mar 29, 2024
  • Individual RAUM · $1.2M to $4.7M
    Nov 8, 2023 to Mar 29, 2024
  • RAUM · $1.2M to $4.7M
    Nov 8, 2023 to Mar 29, 2024
  • Wrap assets (sponsor) · $1.2M to $4.7M
    Nov 8, 2023 to Mar 29, 2024
  • Accounts · 0 to 66
    Nov 7, 2022 to Mar 29, 2023
  • Advisory employees · 4 to 3
    Nov 7, 2022 to Mar 29, 2023
  • Individual clients · 0 to 76
    Nov 7, 2022 to Mar 29, 2023
  • Employees · 10 to 4
    Nov 7, 2022 to Mar 29, 2023
  • Insurance-licensed employees · 0 to 3
    Nov 7, 2022 to Mar 29, 2023
  • State-registered IARs · 5 to 0
    Nov 7, 2022 to Mar 29, 2023
  • Discretionary RAUM · $0 to $1.2M
    Nov 7, 2022 to Mar 29, 2023
  • Individual RAUM · unset to 1165941.0
    Nov 7, 2022 to Mar 29, 2023
  • RAUM · $0 to $1.2M
    Nov 7, 2022 to Mar 29, 2023
  • Related broker-dealer · false to true
    Nov 7, 2022 to Mar 29, 2023
  • Wrap assets (sponsor) · $0 to $1.2M
    Nov 7, 2022 to Mar 29, 2023
  • Advisory employees · 6 to 4
    May 16, 2022 to Nov 4, 2022
  • Assets in custody · unset to 10000.0
    May 16, 2022 to Nov 4, 2022
  • Custody of client assets · false to true
    May 16, 2022 to Nov 4, 2022
  • Employees · 20 to 10
    May 16, 2022 to Nov 4, 2022
Signals
27 dated events
  • Charles O Hopkins left Bmo Direct Invest Inc. for Charles Schwab & Co., Inc. (registered 2025-07-31)
    Oct 29, 2024 · Advisor changed firm · fact
  • Michele Denise Hopson left Bmo Direct Invest Inc. for Lpl Financial Llc (registered 2024-10-01)
    Oct 29, 2024 · Advisor changed firm · fact
  • Loren James Dinneen (Product Manager) no longer on Schedule A of Bmo Direct Invest Inc. (listed 2024-03-29, absent 2024-08-27)
    Aug 27, 2024 · Control person left · inference
  • K Clare Pierce (Director) no longer on Schedule A of Bmo Direct Invest Inc. (listed 2024-03-29, absent 2024-08-27)
    Aug 27, 2024 · Control person left · inference
  • Allan Dean Folias (Chief Compliance Officer) no longer on Schedule A of Bmo Direct Invest Inc. (listed 2023-11-07, absent 2023-11-08)
    Nov 8, 2023 · Control person left · inference
  • Paul Jeffrey Pruitt (Chief Compliance Officer) appeared on Schedule A of Bmo Direct Invest Inc.
    Nov 8, 2023 · Control person joined · fact
  • Asim Mandhai (Chief Legal Officer) no longer on Schedule A of Bmo Direct Invest Inc. (listed 2023-09-05, absent 2023-11-07)
    Nov 7, 2023 · Control person left · inference
  • Peyton Ross Eckert left Bmo Direct Invest Inc. for Corient (registered 2025-01-10)
    Sep 15, 2023 · Advisor changed firm · fact
  • Ross Peyton Eckert (Central Advisor Supervisor) no longer on Schedule A of Bmo Direct Invest Inc. (listed 2023-08-15, absent 2023-08-16)
    Aug 16, 2023 · Control person left · inference
  • Otis Charles Hopkins (Director) appeared on Schedule A of Bmo Direct Invest Inc.
    Aug 16, 2023 · Control person joined · fact
  • Jaleh Leslie Anderson (Director) appeared on Schedule A of Bmo Direct Invest Inc.
    Aug 16, 2023 · Control person joined · fact
  • Harris Darrel Hackett (Director) no longer on Schedule A of Bmo Direct Invest Inc. (listed 2023-06-02, absent 2023-06-14)
    Jun 14, 2023 · Control person left · inference
  • Harris Darrel Hackett (Director) appeared on Schedule A of Bmo Direct Invest Inc.
    Jun 2, 2023 · Control person joined · fact
  • Andrea Carolyn Booth (Director) appeared on Schedule A of Bmo Direct Invest Inc.
    Jun 2, 2023 · Control person joined · fact
  • K Clare Pierce (Director) appeared on Schedule A of Bmo Direct Invest Inc.
    Jun 2, 2023 · Control person joined · fact
  • William Wallace Harris (Director) appeared on Schedule A of Bmo Direct Invest Inc.
    Jun 2, 2023 · Control person joined · fact
  • Paul Dilda (Director) appeared on Schedule A of Bmo Direct Invest Inc.
    Jun 2, 2023 · Control person joined · fact
  • Bindu Alvar Thiruvenkadathan (Director) appeared on Schedule A of Bmo Direct Invest Inc.
    Jun 2, 2023 · Control person joined · fact
  • Bimal Aditi Kapadia (Product Manager) no longer on Schedule A of Bmo Direct Invest Inc. (listed 2022-11-07, absent 2023-03-29)
    Mar 29, 2023 · Control person left · inference
  • Patrick George Lace (Chief Financial Officer) appeared on Schedule A of Bmo Direct Invest Inc.
    Nov 4, 2022 · Control person joined · fact
  • Asim Mandhai (Chief Legal Officer) appeared on Schedule A of Bmo Direct Invest Inc.
    Nov 4, 2022 · Control person joined · fact
  • Loren James Dinneen (Product Manager) appeared on Schedule A of Bmo Direct Invest Inc.
    Nov 4, 2022 · Control person joined · fact
  • William Wallace Harris (President) no longer on Schedule A of Bmo Direct Invest Inc. (listed 2022-05-16, absent 2022-11-04)
    Nov 4, 2022 · Control person left · inference
  • Jane Amanda Demas (Chief Legal Officer) no longer on Schedule A of Bmo Direct Invest Inc. (listed 2022-05-16, absent 2022-11-04)
    Nov 4, 2022 · Control person left · inference
  • Luis Enrique Teran Rivero left Bmo Direct Invest Inc. for Mainstreet Advisors (registered 2022-03-09)
    Feb 24, 2022 · Advisor changed firm · fact
  • John Steven Zakrzewski (Chief Aml Reporting Officer) no longer on Schedule A of Bmo Direct Invest Inc. (listed 2021-12-08, absent 2021-12-17)
    Dec 17, 2021 · Control person left · inference
  • Bmo Direct Invest Inc. filed its initial SEC registration (Form ADV)
    Dec 8, 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.
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