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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Former SEC-registered adviser

L•••••• O•••• T••••••••• L••••••

Former SEC-registered adviserMontreal, CRD 6318SEC 801-112125IAPD
Latest filing Mar 20, 2019
First filing on the tape Dec 15, 2011 · 25 filings
RAUM
$467M
reported, Item 5.F
Discretionary
82%
of RAUM
Private clients
73%
$339M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$467M as of Mar 20, 2019
Jan 26, 2012$38.7M then
HNW client RAUM$339M as of Mar 20, 2019
Mar 29, 2018$432M then
State-registered IARs (5.B.3)0 as of Mar 20, 2019
Jan 26, 20120 then
Employees (5.A)8 as of Mar 20, 2019
Mar 27, 201310 then
Private funds: no history
RAUM -37% over the last fiscal year+5.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 20, 2019; 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
$5.4MderivedHNW RAUM over HNW clients
Average account
$5.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
82%derivedof RAUM
Institutional
0.9%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
-37%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 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
  • is a broker-dealer (6.A.1)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$339M73%
  • Corporations and businesses$124M27%
  • Charitable organizations$4.0M0.9%
Individual clients
n/areported
HNW clients
63reported
Pension plan clients
n/areported
Charitable clients
1reported
Accounts
88reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
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
      • D••••• R••••• W•••••• · Director, Chief Financial Officer & Treasurercontrol
        since 10/1998 · owns less than 5%
      • C••••• Y••• · Chief Executive Officer
        since 10/2012 · owns less than 5%
      • W•••••• C•••••• J••• · Chief Compliance Officer
        since 01/2016 · owns less than 5%
      Entity owners
      • L• H••••••• S• · Shareholder
        direct · owns 75% or more
      • C•••••••• L•••••• O•••• S••• · 100% Shareholder
        indirect · owns 75% or more of L• H••••••• S•
      • L•••••• O•••• • P••••••• S•• · 100% Shareholder
        indirect · owns 75% or more of C•••••••• L•••••• O•••• S•••
      Related persons
      Schedule D 7.A
      • B••• L•••••• O•••• • C• L••
        broker-dealerinvestment advisercustodiann
      • L•••••• O•••• ••••••••• L•••
        broker-dealerinvestment advisern
      • L•••••• O•••• ••••••• S••• L••••••••• B•••••• B•••••
        broker-dealerinvestment advisern
      • L•••••• O•••• ••••••• S••• U• B•••••
        investment advisern
      • L•••••• O•••• ••••••• S•••• N••••••••• B•••••
        broker-dealerinvestment advisern
      • L•••••• O•••• ••••••• S•••• S••••••• E• E•••••
        investment advisern
      • L•••••• O•••• •••• K•••• L••••••
        broker-dealerinvestment advisern
      • L•••••• O•••• • C•• • G••••••••• L••••••
        broker-dealerinvestment advisern
      • L•••••• O•••• • C•• •••••••• L••••••
        broker-dealerinvestment advisern
      • L•••••• O•••• • C•• •••••••• L•••••• P•••••••••
        investment advisern
      • L•••••• O•••• A•••• M••••••••• ••••••• L••••••
        investment advisern
      • L•••••• O•••• E••••• S• ••••••• B•••••
        investment advisern
      • L•••••• O•••• G•••••• •••••••• S••••• S•••
        investment advisern
      • L•••••• O•••• S••••••••• ••••••• I•••
        broker-dealern
      • L•••••• O•••• T•••• •••••••• L••••••
        broker-dealerinvestment advisern
      • L•••••• O•••• T•••• •••••• L••••••
        investment advisern
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 102 to 88
        Oct 16, 2018 to Mar 20, 2019
      • Charity clients · 2 to 1
        Oct 16, 2018 to Mar 20, 2019
      • Corporate clients · 36 to 26
        Oct 16, 2018 to Mar 20, 2019
      • HNW clients · 64 to 63
        Oct 16, 2018 to Mar 20, 2019
      • Employees · 10 to 8
        Oct 16, 2018 to Mar 20, 2019
      • Discretionary RAUM · $462M to $384M
        Oct 16, 2018 to Mar 20, 2019
      • HNW RAUM · $391M to $339M
        Oct 16, 2018 to Mar 20, 2019
      • Non-discretionary RAUM · $141M to $82.5M
        Oct 16, 2018 to Mar 20, 2019
      • RAUM · $603M to $467M
        Oct 16, 2018 to Mar 20, 2019
      • Accounts · 123 to 102
        Jul 26, 2018 to Oct 16, 2018
      • BD registered reps · 5 to 4
        Jul 26, 2018 to Oct 16, 2018
      • Corporate clients · 44 to 36
        Jul 26, 2018 to Oct 16, 2018
      • HNW clients · 77 to 64
        Jul 26, 2018 to Oct 16, 2018
      • Employees · 13 to 10
        Jul 26, 2018 to Oct 16, 2018
      • Discretionary RAUM · $578M to $462M
        Jul 26, 2018 to Oct 16, 2018
      • HNW RAUM · $432M to $391M
        Jul 26, 2018 to Oct 16, 2018
      • Non-discretionary RAUM · $159M to $141M
        Jul 26, 2018 to Oct 16, 2018
      • RAUM · $737M to $603M
        Jul 26, 2018 to Oct 16, 2018
      • Accounts · 124 to 123
        Mar 28, 2018 to Mar 29, 2018
      • Advisory employees · 3 to 2
        Mar 28, 2018 to Mar 29, 2018
      • Corporate clients · 36 to 44
        Mar 28, 2018 to Mar 29, 2018
      • HNW clients · 75 to 77
        Mar 28, 2018 to Mar 29, 2018
      • Employees · 20 to 13
        Mar 28, 2018 to Mar 29, 2018
      • State-registered IARs · 1 to 0
        Mar 28, 2018 to Mar 29, 2018
      • Discretionary RAUM · $527M to $578M
        Mar 28, 2018 to Mar 29, 2018
      • HNW RAUM · $300M to $432M
        Mar 28, 2018 to Mar 29, 2018
      • Non-discretionary RAUM · $17.9M to $159M
        Mar 28, 2018 to Mar 29, 2018
      • RAUM · $545M to $737M
        Mar 28, 2018 to Mar 29, 2018
      • Accounts · 109 to 124
        Jul 6, 2017 to Mar 28, 2018
      • Charity clients · unset to 2.0
        Jul 6, 2017 to Mar 28, 2018
      • Corporate clients · unset to 36.0
        Jul 6, 2017 to Mar 28, 2018
      • HNW clients · unset to 75.0
        Jul 6, 2017 to Mar 28, 2018
      • Other offices · unset to 0.0
        Jul 6, 2017 to Mar 28, 2018
      • Discretionary RAUM · $387M to $527M
        Jul 6, 2017 to Mar 28, 2018
      • HNW RAUM · unset to 300385312.0
        Jul 6, 2017 to Mar 28, 2018
      • Non-discretionary RAUM · $90.1M to $17.9M
        Jul 6, 2017 to Mar 28, 2018
      • RAUM · $478M to $545M
        Jul 6, 2017 to Mar 28, 2018
      • Succession · true to false
        Jul 6, 2017 to Mar 28, 2018
      • Succession · false to true
        Mar 21, 2017 to Jul 6, 2017
      • Accounts · 94 to 109
        Feb 7, 2017 to Mar 21, 2017
      Signals
      2 dated events
      • L•••••• O•••• T••••••••• L•••••• reported RAUM $736.9M, up 35% from $545.0M (2018-03-28 to 2018-03-29)
        Mar 29, 2018 · RAUM change · derived
      • L•••••• O•••• T••••••••• L•••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Jul 6, 2017 · Succession (Item 4) · fact
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      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
      Former SEC-registered 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