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
S••••• H••••••• M•••••• ••• L••
Latest filing Aug 6, 2026
First filing on the tape Aug 15, 2022 · 8 filings
SEC status approved since Sep 15, 2022
RAUM
$1.4B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
41
16 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
3
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$1.4B as of Aug 6, 2026
Mar 31, 2023$240M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 6, 2026
Mar 31, 20230 then
Employees (5.A)41 as of Aug 6, 2026
Mar 31, 202373 then
Private funds3 as of Aug 6, 2026
Mar 31, 20232 then
RAUM +161% over the last fiscal year+80% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 6, 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
- unknownderivedHNW RAUM over HNW clients
- Average account
- $118MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 17%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +161%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- yesreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- 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
- Pooled investment vehicles$1.0B72%
- Insurance companies$243M17%
- Corporations and businesses$101M7.1%
- Other investment advisers$46.5M3.3%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 12reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.76 institutional_share=0.17 related_bd=true related_bank=true 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
- D•••••••• I••• P•••• G•• · Chairman And Chief Executive Officercontrolsince 10/2017 · owns less than 5%
- H•••••• M••••••• N•• · Managing Director, General Counsel And Secretary, Legal Affairscontrolsince 11/2023 · owns less than 5%
- K•••• S••••••• N•• · Chief Financial Officercontrolsince 07/2018 · owns less than 5%
- R•••••••• S•••••• D•••• · Co-Founder And Vice Chairmancontrolsince 10/2017 · owns less than 5%
- S•••••• J•••••• K••••• · Vice President, Legal Affairs And Chief Compliance Officercontrolsince 10/2020 · owns less than 5%
- V••••• A•••• D••••• · Chief Investment Officercontrolsince 10/2017 · owns less than 5%
- D••••••••• P•••• G•• · Trusteecontrolsince 10/2013 · owns F of T•• D•••••••• F••••• R•••••••• T••••
- D•••• G•••• A••••• · Trusteecontrolsince 05/2023 · owns F of T•• D•••••••• F••••• R•••••••• T••••
- F••••••• G••••••• J•••• · Trusteecontrolsince 02/2024 · owns F of T•• D•••••••• F••••• R•••••••• T••••
- D••••••••• S•••••• C••••••• · Trustee, Non-Votingsince 03/2018 · owns F of T•• D•••••••• F••••• R•••••••• T••••
Entity owners
- S••••• C•••••• P••••••• M••••••••• C••• · Sole Memberdirect · owns 75% or more
- P•••••• H•••••• I••• · Shareholderindirect · owns 50% to 75% of P•••• C••••••••• O• C•••••
- P•••• C••••••••• O• C••••• · Shareholderindirect · owns 75% or more of S••••• H••••••• P••••••••• I•••
- S••••• H••••••• I••• · Shareholderindirect · owns 50% to 75% of S••••• H••••••• M••••••••• I•••
- S••••• H••••••• M••••••••• I••• · Shareholderindirect · owns 75% or more of S••••• C•••••• P••••••• M••••••••• C•••
- S••••• H••••••• P••••••••• I••• · Shareholderindirect · owns 75% or more of S••••• H••••••• I•••
- T•• D•••••••• F••••• R•••••••• T•••• · Shareholderindirect · owns 75% or more of P•••••• H•••••• I•••
Related persons
Schedule D 7.A
- D•••••• C•••••••••investment advisern
- S••••• R••• E••••• Advisorsinvestment adviserpooled vehicle sponsornRAUM $1.2B
- G••••••• I••••••••• S••••••••• I•••investment adviserpooled vehicle sponsorn
- G••••••• W••••• U• I•••investment advisern
- H••••••••• A•••• M•••••••••investment advisernRAUM $4.5B
- S••••• P•••••• Equity Solutionsinvestment advisernRAUM $9.4B
- S••••• H••••••• M•••••• L•investment advisernRAUM $8.6B
- S••••• S••investment adviserpooled vehicle sponsorn
- T•• C••••• L••• A•••••••• C••••••real estaten
- W••••••••• I•••investment advisern
Advisers that list S••••• H••••••• M•••••• ••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- Toronto, Ontario, Canada9 employees
- Montr•••, Quebec, Canada1 employees
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- employee count surgeChange between filings · filing Mar 31, 2026employees (Item 5.A) moved from 22.0 to 41.0 (+86.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was 0.0% (1109 comparable advisers, 99.0th percentile of changes)peers: ASSET_M••••••, $1B to $5B (1,109) · 99% percentile
- institutional asset share shiftChange between filings · filing Mar 31, 2026institutional share of RAUM moved from 53.0% to 28.0% between the annual amendments of 2025-03-31 and 2026-03-31peers: ASSET_M••••••, $1B to $5B (1,506)
- p•••••• fund count surgeChange between filings · filing Mar 31, 2026private funds (Schedule D 7.B.1) moved from 2.0 to 3.0 (+50.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was 0.0% (1022 comparable advisers, 93.0th percentile of changes)peers: ASSET_M••••••, $1B to $5B (1,022) · 93% percentile
- RAUM up 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $540,524,365 to $1,410,770,595 (+161.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +11.0% (1368 comparable advisers, 97.0th percentile of changes)peers: ASSET_M••••••, $1B to $5B (1,368) · 97% percentile
What changed
consecutive filings, newest first
- Accounts · 7 to 12Mar 31, 2025 to Mar 31, 2026
- Advisory employees · 11 to 16Mar 31, 2025 to Mar 31, 2026
- Pooled vehicle clients · 4 to 7Mar 31, 2025 to Mar 31, 2026
- Employees · 22 to 41Mar 31, 2025 to Mar 31, 2026
- Private funds · 2 to 3Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $541M to $1.4BMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $254M to $1.0BMar 31, 2025 to Mar 31, 2026
- RAUM · $541M to $1.4BMar 31, 2025 to Mar 31, 2026
- Accounts · 5 to 7Mar 28, 2024 to Mar 31, 2025
- Advisory employees · 13 to 11Mar 28, 2024 to Mar 31, 2025
- Pooled vehicle clients · 3 to 4Mar 28, 2024 to Mar 31, 2025
- Employees · 21 to 22Mar 28, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $340M to $541MMar 28, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $97.9M to $254MMar 28, 2024 to Mar 31, 2025
- RAUM · $340M to $541MMar 28, 2024 to Mar 31, 2025
- Accounts · 4 to 5May 1, 2023 to Mar 28, 2024
- Advisory employees · 11 to 13May 1, 2023 to Mar 28, 2024
- Corporate clients · unset to 1.0May 1, 2023 to Mar 28, 2024
- Pooled vehicle clients · 2 to 3May 1, 2023 to Mar 28, 2024
- Employees · 73 to 21May 1, 2023 to Mar 28, 2024
- Discretionary RAUM · $240M to $340MMay 1, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $0 to $97.9MMay 1, 2023 to Mar 28, 2024
- RAUM · $240M to $340MMay 1, 2023 to Mar 28, 2024
- Accounts · 6 to 4Jan 13, 2023 to Mar 31, 2023
- Advisory employees · 10 to 11Jan 13, 2023 to Mar 31, 2023
- Pooled vehicle clients · 4 to 2Jan 13, 2023 to Mar 31, 2023
- Custody of client assets · false to trueJan 13, 2023 to Mar 31, 2023
- Employees · 39 to 73Jan 13, 2023 to Mar 31, 2023
- Private funds · unset to 2Jan 13, 2023 to Mar 31, 2023
- Discretionary RAUM · $314M to $240MJan 13, 2023 to Mar 31, 2023
- Pooled vehicle RAUM · $74.5M to $0Jan 13, 2023 to Mar 31, 2023
- RAUM · $314M to $240MJan 13, 2023 to Mar 31, 2023
- Accounts · unset to 6.0Aug 15, 2022 to Jan 13, 2023
- Advisory activities · 1 to 2Aug 15, 2022 to Jan 13, 2023
- Pooled vehicle clients · unset to 4.0Aug 15, 2022 to Jan 13, 2023
- Discretionary RAUM · unset to 314455471.0Aug 15, 2022 to Jan 13, 2023
- Non-discretionary RAUM · unset to 0.0Aug 15, 2022 to Jan 13, 2023
- Pooled vehicle RAUM · unset to 74455471.0Aug 15, 2022 to Jan 13, 2023
- RAUM · unset to 314455471.0Aug 15, 2022 to Jan 13, 2023
Signals
10 dated events
- S••••• H••••••• M•••••• ••• L•• reported RAUM $1.4B, up 161% from $540.5M (2025-03-31 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- S••••• H••••••• M•••••• ••• L•• reported RAUM $540.5M, up 59% from $340.0M (2024-03-28 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- Nmn Sacha Haque (General Counsel And Secretary) no longer on Schedule A of S••••• H••••••• M•••••• ••• L•• (listed 2023-05-01, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Nmn Guy Fortin (Trustee) no longer on Schedule A of S••••• H••••••• M•••••• ••• L•• (listed 2023-05-01, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- James Gregory Fleming (Trustee) appeared on Schedule A of S••••• H••••••• M•••••• ••• L••Mar 28, 2024 · Control person joined · fact
- Albert Gary Doer (Trustee) appeared on Schedule A of S••••• H••••••• M•••••• ••• L••Mar 28, 2024 · Control person joined · fact
- Nmn Michael Hassan (Managing Director, General Counsel And Secretary, Legal Affairs) appeared on Schedule A of S••••• H••••••• M•••••• ••• L••Mar 28, 2024 · Control person joined · fact
- Roger Andre Desmarais (Trustee) no longer on Schedule A of S••••• H••••••• M•••••• ••• L•• (listed 2023-01-13, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Michel Plessis-Belair (Trustee) no longer on Schedule A of S••••• H••••••• M•••••• ••• L•• (listed 2023-01-13, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- S••••• H••••••• M•••••• ••• L•• filed its initial SEC registration (Form ADV)Aug 15, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S••••• H••••••• M•••••• ••• L•• · Independent Sponsorsshared crd · capital_provider
- S••••• H••••••• M•••••• ••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/sagardholdingsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- sagard.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 1-212-380-5605reportedpublic record, Form ADV, Aug 6, 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
- ASSET M••••••deriveda 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