DFX Intelligence
RIA Intelligence
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SEC-registered adviser
U• F•••••••• U•• I•••
Latest filing May 29, 2026
First filing on the tape May 11, 2023 · 5 filings
SEC status approved since Jun 20, 2023
RAUM
$4.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$4.1M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$2.1M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$4.1M as of May 29, 2026
Mar 26, 2024$0 then
HNW client RAUM$3.3M as of May 29, 2026
Mar 26, 2024$0 then
State-registered IARs (5.B.3)2 as of May 29, 2026
Mar 26, 20242 then
Employees (5.A)5 as of May 29, 2026
Mar 26, 20242 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 29, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $2.1MderivedRAUM 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
- $294,893derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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
- financial planning, portfolio management for individualsreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$3.3M79%
- Individuals$855,71121%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 14reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••••• C••• K••••••••• | Calgary, Alberta | Jun 27, 2023 | 14 y | 0 |
| N••••• A••••• W••• | Calgary, Alberta | Jun 27, 2023 | 22 y | 0 |
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••••••• E•••••• C••• · Director And Chief Compliance Officercontrolsince 04/2023 · owns less than 5%
- W•••• N•••••• A••••• · Directorcontrolsince 04/2023 · owns less than 5%
- K••••••••• E•••••• C••• · Directorcontrolsince 05/2016 · owns 50% to 75% of 1•••••• A• L•••
- W•••• N•••••• A••••• · Directorcontrolsince 05/2016 · owns 50% to 75% of 1•••••• A• L•••
Entity owners
- 1•••••• A• L••• · Holding Companydirect · owns 75% or more
Related persons
Schedule D 7.A
- U• F•••••••• I•••investment adviserreal estaten
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 4 to 14May 6, 2025 to May 29, 2026
- Employees · 3 to 5May 6, 2025 to May 29, 2026
- Insurance-licensed employees · 3 to 0May 6, 2025 to May 29, 2026
- Discretionary RAUM · $2.0M to $4.1MMay 6, 2025 to May 29, 2026
- HNW RAUM · $1.8M to $3.3MMay 6, 2025 to May 29, 2026
- Individual RAUM · $182,924 to $855,711May 6, 2025 to May 29, 2026
- RAUM · $2.0M to $4.1MMay 6, 2025 to May 29, 2026
- Accounts · 0 to 4Mar 26, 2024 to May 6, 2025
- Advisory employees · 2 to 3Mar 26, 2024 to May 6, 2025
- BD registered reps · 2 to 3Mar 26, 2024 to May 6, 2025
- HNW clients · 0.0 to unsetMar 26, 2024 to May 6, 2025
- Individual clients · 0.0 to unsetMar 26, 2024 to May 6, 2025
- Employees · 2 to 3Mar 26, 2024 to May 6, 2025
- Insurance-licensed employees · 2 to 3Mar 26, 2024 to May 6, 2025
- Financial planning clients · 0 to 0Mar 26, 2024 to May 6, 2025
- HQ state · unset to Mar 26, 2024 to May 6, 2025
- Discretionary RAUM · $0 to $2.0MMar 26, 2024 to May 6, 2025
- HNW RAUM · $0 to $1.8MMar 26, 2024 to May 6, 2025
- Individual RAUM · $0 to $182,924Mar 26, 2024 to May 6, 2025
- RAUM · $0 to $2.0MMar 26, 2024 to May 6, 2025
- Business name · U• F•••••••• to U• F•••••••• U•• I•••May 11, 2023 to May 11, 2023
- Financial planning clients · unset to 0May 11, 2023 to May 11, 2023
- Legal name · U• F•••••••• I••• to U• F•••••••• U•• I•••May 11, 2023 to May 11, 2023
Signals
1 dated events
- U• F•••••••• filed its initial SEC registration (Form ADV)May 11, 2023 · 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
- Principal office phone
- 587-316-4070reportedpublic record, Form ADV, May 29, 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
- $2.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026