DFX Intelligence
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L••••• G••••• E••••• M••••••••• I•••
Other adviser, based in Toronto, reporting $333M of regulatory assets.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $333M
- Advisors
- 0
- Net advisor flow, 12 months
- Not established
- RAUM change, last fiscal year
- -21%
- Private clients
- 11% of RAUM, $37.1M
Form ADV
IAPD
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $420MRAUM now $333M
- Contact points 2
Every filed figure, and the identifiersCRD 317604 · SEC 801-122919 · 10 filingsShowHide
CRD 317604SEC 801-122919First filing on the tape Nov 22, 2021, latest Mar 19, 2026SEC status approved since Jan 4, 2022IAPD
RAUM
$333M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
11%
$37.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$333M as of Mar 19, 2026
Mar 24, 2022$671M then
HNW client RAUM$37.1M as of Mar 19, 2026
Mar 24, 2022$28.0M then
State-registered IARs (5.B.3)0 as of Mar 19, 2026
Mar 24, 20220 then
Employees (5.A)7 as of Mar 19, 2026
Mar 24, 202211 then
Private funds: no history
RAUM -21% over the last fiscal year-7.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 19, 2026; 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
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $14.5MderivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -21%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
- 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
- Other investment advisers$236M71%
- Pooled investment vehicles$46.1M14%
- High-net-worth individuals$37.1M11%
- Corporations and businesses$13.3M4.0%
- Individual clients
- n/areported
- HNW clients
- 11reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 23reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.11 fund_share=0.85 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
- P•••• C••••• W•••••• · Chief Executive Officercontrolsince 04/2014 · owns less than 5%
- S•••••••• D•••••• R••••• · Senior Vice Presidentcontrolsince 04/2014 · owns less than 5%
- P•••• C••••• W•••••• · Ownercontrolsince 04/2014 · owns 25% to 50% of L••••• H•••••• I•••
- S•••••••• D•••••• R••••• · Ownercontrolsince 04/2014 · owns 25% to 50% of L••••• H•••••• I•••
- H•••• S••••• · Chief Compliance Officersince 01/2023 · owns less than 5%
Entity owners
- L••••• H•••••• I••• · Direct Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 24 to 23Mar 18, 2025 to Mar 19, 2026
- Advisory employees · 5 to 4Mar 18, 2025 to Mar 19, 2026
- Pooled vehicle clients · 3 to 2Mar 18, 2025 to Mar 19, 2026
- Employees · 9 to 7Mar 18, 2025 to Mar 19, 2026
- Discretionary RAUM · $420M to $333MMar 18, 2025 to Mar 19, 2026
- HNW RAUM · $23.0M to $37.1MMar 18, 2025 to Mar 19, 2026
- Pooled vehicle RAUM · $111M to $46.1MMar 18, 2025 to Mar 19, 2026
- RAUM · $420M to $333MMar 18, 2025 to Mar 19, 2026
- Charity clients · 0.0 to unsetFeb 14, 2025 to Mar 18, 2025
- Financial planning clients · 0 to 0Feb 14, 2025 to Mar 18, 2025
- Discretionary RAUM · $414M to $420MFeb 14, 2025 to Mar 18, 2025
- HNW RAUM · $22.5M to $23.0MFeb 14, 2025 to Mar 18, 2025
- Pooled vehicle RAUM · $112M to $111MFeb 14, 2025 to Mar 18, 2025
- RAUM · $414M to $420MFeb 14, 2025 to Mar 18, 2025
- Business name · L••••• I••••••••• C•••••• I••• to L••••• G••••• E••••• M••••••••• I•••Mar 27, 2024 to Feb 14, 2025
- HQ state · unset to Mar 27, 2024 to Feb 14, 2025
- Legal name · L••••• I••••••••• C•••••• I••• to L••••• G••••• E••••• M••••••••• I•••Mar 27, 2024 to Feb 14, 2025
- Accounts · 30 to 24Aug 17, 2023 to Mar 27, 2024
- Advisory employees · 6 to 5Aug 17, 2023 to Mar 27, 2024
- Corporate clients · 8 to 7Aug 17, 2023 to Mar 27, 2024
- HNW clients · 13 to 11Aug 17, 2023 to Mar 27, 2024
- Discretionary RAUM · $420M to $414MAug 17, 2023 to Mar 27, 2024
- HNW RAUM · $19.4M to $22.5MAug 17, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $124M to $112MAug 17, 2023 to Mar 27, 2024
- RAUM · $420M to $414MAug 17, 2023 to Mar 27, 2024
- Advisory employees · 7 to 6Mar 30, 2023 to Aug 17, 2023
- Employees · 10 to 9Mar 30, 2023 to Aug 17, 2023
- Accounts · 31 to 30Jan 31, 2023 to Mar 30, 2023
- Charity clients · 1 to 0Jan 31, 2023 to Mar 30, 2023
- Pooled vehicle clients · 10 to 3Jan 31, 2023 to Mar 30, 2023
- Employees · 11 to 10Jan 31, 2023 to Mar 30, 2023
- Discretionary RAUM · $618M to $420MJan 31, 2023 to Mar 30, 2023
- HNW RAUM · $28.0M to $19.4MJan 31, 2023 to Mar 30, 2023
- Non-discretionary RAUM · $52.4M to $0Jan 31, 2023 to Mar 30, 2023
- Pooled vehicle RAUM · $602M to $124MJan 31, 2023 to Mar 30, 2023
- RAUM · $671M to $420MJan 31, 2023 to Mar 30, 2023
- Accounts · 30 to 31Nov 22, 2021 to Mar 24, 2022
- HNW clients · 11 to 13Nov 22, 2021 to Mar 24, 2022
- Discretionary RAUM · $653M to $618MNov 22, 2021 to Mar 24, 2022
- HNW RAUM · $25.3M to $28.0MNov 22, 2021 to Mar 24, 2022
Signals
3 dated events
- ••• LockedMar 30, 2023 · RAUM change · derived
- ••• LockedJan 9, 2023 · Control person left · inference
- ••• LockedNov 22, 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, Mar 19, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 19, 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
- Other 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