DFX Intelligence

RIA Intelligence

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SEC-registered adviser

S•••••••• W••••• I•••

Independent wealth managerMississauga, Ontario, CRD 329971SEC 801-131096websiteIAPD
Latest filing Jun 25, 2026
First filing on the tape Aug 14, 2024 · 7 filings
SEC status approved since Sep 12, 2024
RAUM
$130M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$123M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$130M as of Jun 25, 2026
Mar 3, 2025$0 then
HNW client RAUM$42.5M as of Jun 25, 2026
Mar 31, 2026$42.5M then
State-registered IARs (5.B.3)0 as of Jun 25, 2026
Mar 3, 20250 then
Employees (5.A)8 as of Jun 25, 2026
Mar 3, 20255 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0offices 0 to 1
Practice profile
derived from the filing of Jun 25, 2026; every figure names its basis
Archetypes, each a printed rule
  • Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
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
$2.4MderivedHNW RAUM over HNW clients
Average account
$436,158derivedRAUM 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
unknownderived2 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 assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$80.2M62%
  • High-net-worth individuals$42.5M33%
  • Corporations and businesses$7.7M5.9%
Individual clients
275reported
HNW clients
18reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
299reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=0.94 fund_share=0.0 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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • A••••• S•••• S••••• · Owner/Ccocontrol
        since 08/2022 · 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 · 128 to 299
        Oct 14, 2025 to Mar 31, 2026
      • Advisory employees · 2 to 3
        Oct 14, 2025 to Mar 31, 2026
      • Corporate clients · unset to 6.0
        Oct 14, 2025 to Mar 31, 2026
      • HNW clients · unset to 18.0
        Oct 14, 2025 to Mar 31, 2026
      • Individual clients · 128 to 275
        Oct 14, 2025 to Mar 31, 2026
      • Employees · 5 to 8
        Oct 14, 2025 to Mar 31, 2026
      • Financial planning clients · 101-250 to 11-25
        Oct 14, 2025 to Mar 31, 2026
      • Discretionary RAUM · $82.5M to $130M
        Oct 14, 2025 to Mar 31, 2026
      • HNW RAUM · unset to 42527375.0
        Oct 14, 2025 to Mar 31, 2026
      • Individual RAUM · $82.5M to $80.2M
        Oct 14, 2025 to Mar 31, 2026
      • RAUM · $82.5M to $130M
        Oct 14, 2025 to Mar 31, 2026
      • Accounts · 0 to 128
        Aug 15, 2025 to Oct 14, 2025
      • Individual clients · unset to 128.0
        Aug 15, 2025 to Oct 14, 2025
      • Financial planning clients · 0 to 101-250
        Aug 15, 2025 to Oct 14, 2025
      • Other offices · 0 to 1
        Aug 15, 2025 to Oct 14, 2025
      • Discretionary RAUM · $0 to $82.5M
        Aug 15, 2025 to Oct 14, 2025
      • Individual RAUM · unset to 82519495.0
        Aug 15, 2025 to Oct 14, 2025
      • RAUM · $0 to $82.5M
        Aug 15, 2025 to Oct 14, 2025
      • Succession · true to false
        Mar 14, 2025 to Aug 15, 2025
      • Accounts · unset to 0.0
        Aug 14, 2024 to Mar 3, 2025
      • Business name · S•••••••• W••••• •••• I••• to S•••••••• W••••• I•••
        Aug 14, 2024 to Mar 3, 2025
      • HQ state · unset to
        Aug 14, 2024 to Mar 3, 2025
      • Legal name · S•••••••• W••••• •••• I••• to S•••••••• W••••• I•••
        Aug 14, 2024 to Mar 3, 2025
      • Discretionary RAUM · unset to 0.0
        Aug 14, 2024 to Mar 3, 2025
      • Non-discretionary RAUM · unset to 0.0
        Aug 14, 2024 to Mar 3, 2025
      • RAUM · unset to 0.0
        Aug 14, 2024 to Mar 3, 2025
      • Succession · false to true
        Aug 14, 2024 to Mar 3, 2025
      Signals
      2 dated events
      • S•••••••• W••••• I••• reported succeeding to the business of S•••••••• W••••• I••• (Form ADV Item 4)
        Mar 3, 2025 · Succession (Item 4) · fact
      • S•••••••• W••••• •••• I••• filed its initial SEC registration (Form ADV)
        Aug 14, 2024 · 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
      s•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
      Principal office phone
      647-368-6816reportedpublic record, Form ADV, Jun 25, 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
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026