DFX Intelligence

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SEC-registered adviser

I• P•••••• W••••• •••• I•••

Independent wealth managerToronto, Ontario, CRD 322127SEC 801-126039website IAPD

Latest filing Mar 26, 2026

First filing on the tape Jun 7, 2022 · 10 filings

SEC status approved since Jul 13, 2022

RAUM

$135M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

96%

$129M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$13.5M

derived; firm RAUM over IAPD count

Employees

131

122 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

10 filings and snapshots on the tape

RAUM$135M as of Mar 26, 2026

Mar 30, 2023$12.6M then

HNW client RAUM$84.9M as of Mar 26, 2026

Mar 30, 2023$10.5M then

State-registered IARs (5.B.3)8 as of Mar 26, 2026

Mar 30, 20230 then

Employees (5.A)131 as of Mar 26, 2026

Mar 30, 202353 then

Private funds: no history

RAUM +41% over the last fiscal year+120% a year over threeIARs 4 to 8offices 54 to 60

Practice profile

derived from the filing of Mar 26, 2026; every figure names its basis

Archetypes, each a printed rule

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: $13.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 20derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $3.0MderivedHNW RAUM over HNW clients
Average account: $462,623derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 13.1derivedItem 5.A over advisors
Advisors per office: 0.2derived61 offices incl. principal (1.F.5)
RAUM growth, one year: +41%derivedbetween the last two annual amendments
Advisor growth, one year: +100%derivedItem 5.B.3 between annual amendments
Client growth, one year: +48%derived
Compensation: percentage of assets, fixed fees, performance-basedreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, publicationsreportedItem 5.G
Wrap fee program: participatesreportedItem 5.I
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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$84.9M63%
Individuals$44.5M33%
Corporations and businesses$5.6M4.2%

Individual clients: 167reported
HNW clients: 28reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 292reported
Financial planning clients: 0reported
Wrap fee programs: $0 sponsored, $0 managedreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, performancereported
Class basis: private_client_share=0.96 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=0.0derived

Advisors registered through the firm

10 on IAPD today, longest tenure first

Name	Branch	Here since	In industry
J•••• A•••••• G••••• M••••	Winnipeg	Oct 19, 2023	11 y
K•••••••• M••• D•••••	Toronto, Ontario	Aug 14, 2024	10 y
E••••• J••••• B••••••••	Winnipeg	Sep 10, 2024	20 y
J••• F•••••• K••••••Chartered Financial Analyst	Ottawa	Apr 15, 2025	10 y
N••••• K••••Chartered Financial Analyst	Mississauga	Jun 17, 2025	11 y
B•••• M•••	Calgary	Sep 15, 2025	11 y
R••• T••••••••	Winnipeg	Oct 7, 2025	11 y
J••••• P••••••	Toronto	Jan 26, 2026	12 y
M•••••• S••••••	Stratford	Feb 3, 2026	12 y
R••• P•••••• S••••••	Vancouver	May 20, 2026	12 y

Advisor movement

0 left, 0 joined in 12 months

net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

B•••••• B•••• · Cfocontrol
since 04/2022 · owns less than 5%
R•••••••• M••• · Coocontrol
since 04/2022 · owns less than 5%
S••••• M••••••• R••••••• · Cco, Presidentcontrol
since 04/2022 · owns less than 5%

Entity owners

I• W••••• G•••• •••• I••• · Owner
direct · owns 75% or more
I• F•••••••• C••••••••• I••• · Owner
indirect · owns 75% or more of I• W••••• G•••• •••• I•••

Related persons

Schedule D 7.A

I• P•••••• W••••• I•••
broker-dealern
I• S••••••••• •••• I•••
broker-dealern

Offices

Schedule D 1.F, the 25 largest

Vancouver, Canada7 employees
Montreal, Canada6 employees
Waterloo, Canada4 employees
Toronto, Canada4 employees
Winnipeg, Canada3 employees
Toronto, Canada3 employees
Waterloo, Canada3 employees
Oakville, Canada3 employees
Oakville, Canada3 employees
London, Canada2 employees
Markham, Canada2 employees
Ottawa, Canada2 employees
Ottawa, Canada2 employees
Bolton, Canada2 employees
Calgary, Canada2 employees
Calgary, Canada2 employees
Calgary, Canada2 employees
Edmonton, Canada2 employees
Edmonton, Canada2 employees
Kanata, Canada2 employees
Laval, Canada2 employees
Pointe-Claire, Canada2 employees
Saskatoon, Canada2 employees
Surrey, Canada2 employees
Thorold, Canada2 employees

ADV anomalies

3 against comparable advisers; where to look, not conclusions

high employee count relative to advisorsStatic outlier · filing Mar 26, 2026
employees per registered advisor of 13.1 against a peer median of 1.2 (1315 comparable advisers, 100.0th percentile, 40.1 robust deviations)
peers: independent wealth managers, $100M to $500M (1,315) · 100% percentile
high office count relative to headcountStatic outlier · filing Mar 26, 2026
offices per registered advisor of 6.1 against a peer median of 0.6 (577 comparable advisers, 100.0th percentile, 21.6 robust deviations)
peers: independent wealth managers, $100M to $500M (577) · 100% percentile
RAUM up 25 %Change between filings · filing Mar 26, 2026
RAUM (Item 5.F) moved from $95,781,457 to $135,085,997 (+41.0%) between the annual amendments of 2025-03-25 and 2026-03-26; the peer median change was +15.0% (4548 comparable advisers, 93.0th percentile of changes)
peers: independent wealth managers, $100M to $500M (4,548) · 93% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 183 to 292
Jun 17, 2025 to Mar 26, 2026
Advisory employees · 116 to 122
Jun 17, 2025 to Mar 26, 2026
BD registered reps · 2 to 0
Jun 17, 2025 to Mar 26, 2026
Corporate clients · unset to 4.0
Jun 17, 2025 to Mar 26, 2026
HNW clients · 18 to 28
Jun 17, 2025 to Mar 26, 2026
Individual clients · 114 to 167
Jun 17, 2025 to Mar 26, 2026
Employees · 126 to 131
Jun 17, 2025 to Mar 26, 2026
State-registered IARs · 4 to 8
Jun 17, 2025 to Mar 26, 2026
Other offices · 54 to 60
Jun 17, 2025 to Mar 26, 2026
Discretionary RAUM · $95.8M to $135M
Jun 17, 2025 to Mar 26, 2026
HNW RAUM · $63.0M to $84.9M
Jun 17, 2025 to Mar 26, 2026
Individual RAUM · $29.4M to $44.5M
Jun 17, 2025 to Mar 26, 2026
RAUM · $95.8M to $135M
Jun 17, 2025 to Mar 26, 2026
Financial planning clients · 0 to 0
Mar 25, 2025 to Jun 17, 2025
State-registered IARs · 1 to 4
Mar 28, 2024 to Mar 25, 2025
Accounts · 105 to 183
Mar 28, 2024 to Mar 25, 2025
Advisory employees · 96 to 116
Mar 28, 2024 to Mar 25, 2025
HNW clients · 16 to 18
Mar 28, 2024 to Mar 25, 2025
Individual clients · 63 to 114
Mar 28, 2024 to Mar 25, 2025
Employees · 121 to 126
Mar 28, 2024 to Mar 25, 2025
HQ state · unset to
Mar 28, 2024 to Mar 25, 2025
Other offices · 43 to 54
Mar 28, 2024 to Mar 25, 2025
Discretionary RAUM · $77.7M to $95.8M
Mar 28, 2024 to Mar 25, 2025
HNW RAUM · $58.7M to $63.0M
Mar 28, 2024 to Mar 25, 2025
Individual RAUM · $17.7M to $29.4M
Mar 28, 2024 to Mar 25, 2025
RAUM · $77.7M to $95.8M
Mar 28, 2024 to Mar 25, 2025
Accounts · 36 to 105
Mar 30, 2023 to Mar 28, 2024
Advisory employees · 34 to 96
Mar 30, 2023 to Mar 28, 2024
HNW clients · 8 to 16
Mar 30, 2023 to Mar 28, 2024
Individual clients · 12 to 63
Mar 30, 2023 to Mar 28, 2024
Employees · 53 to 121
Mar 30, 2023 to Mar 28, 2024
State-registered IARs · 0 to 1
Mar 30, 2023 to Mar 28, 2024
Other offices · 18 to 43
Mar 30, 2023 to Mar 28, 2024
Discretionary RAUM · $12.6M to $77.7M
Mar 30, 2023 to Mar 28, 2024
HNW RAUM · $10.5M to $58.7M
Mar 30, 2023 to Mar 28, 2024
Individual RAUM · $2.2M to $17.7M
Mar 30, 2023 to Mar 28, 2024
RAUM · $12.6M to $77.7M
Mar 30, 2023 to Mar 28, 2024
Accounts · 22 to 36
Nov 10, 2022 to Mar 30, 2023
Advisory employees · 0 to 34
Nov 10, 2022 to Mar 30, 2023
BD registered reps · 0 to 2
Nov 10, 2022 to Mar 30, 2023

Signals

5 dated events

••• Locked
Mar 26, 2026 · Office count change · derived
••• Locked
Mar 25, 2025 · Office count change · derived
••• Locked
Mar 28, 2024 · Office count change · derived
••• Locked
Mar 30, 2023 · Office count change · derived
••• Locked
Jun 7, 2022 · 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: 855-999-2081reportedpublished by the firm, firm site, Sep 16, 2026
Website: i•••••••••.comreportedpublic record, Form ADV, Mar 26, 2026
Principal office phone: 1-855-999-2081reportedpublic record, Form ADV, Mar 26, 2026
Team page: i•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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: Independent wealth managerderiveda rule over Items 5.D and 7.A
RAUM per advisor: $13.5Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026