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.

SEC-registered adviser

Canaccord Genuity Wealth Management

Independent wealth managerVancouver, Bc, CRD 7449SEC 801-106809IAPD
Legal name Canaccord Genuity Wealth Management (USA) Inc.
Latest filing Jun 30, 2026
First filing on the tape Oct 13, 2015 · 33 filings
SEC status approved since Nov 2, 2015
RAUM
$135M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$134M individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$11.3M
derived; firm RAUM over IAPD count
Employees
32
32 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$135M as of Jun 30, 2026
May 23, 2018$0 then
HNW client RAUM$117M as of Jun 30, 2026
Jun 30, 2025$87.5M then
State-registered IARs (5.B.3)12 as of Jun 30, 2026
Jun 28, 20160 then
Employees (5.A)32 as of Jun 30, 2026
Jun 28, 201617 then
Private funds: no history
RAUM +153% over the last fiscal year+59% a year over threeIARs 0 to 12offices 4 to 6
Practice profile
derived from the filing of Jun 30, 2026; every figure names its basis
Archetypes, each a printed rule
  • Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
  • 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
$11.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
6derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.0MderivedHNW RAUM over HNW clients
Average account
$1.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.7derivedItem 5.A over advisors
Advisors per office
1.7derived7 offices incl. principal (1.F.5)
RAUM growth, one year
+73%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
controlled by a public reporting companyderived
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)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$117M87%
  • Individuals$16.3M12%
  • Corporations and businesses$1.9M1.4%
Individual clients
48reported
HNW clients
29reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
114reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=18.0derived
Advisors registered through the firm
12 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Kenneth Michael EisenVancouver Sep 21, 201624 y0
Thomas William CoxVancouverFeb 26, 201829 y0
Marc William RinfretVancouver, Bc Feb 26, 201817 y0
Fletcher Kodie HemmonsVancouver Feb 27, 201814 y0
Darcie Lorraine CroweVancouverJul 4, 201814 y0
V. Thane Thane StennerVancouverNov 10, 202019 y1
Neil David GregoryChartered Financial AnalystVancouver Feb 5, 202116 y1
Simon John JochlinVancouver Jun 1, 202113 y1
Selim BegisVancouver Feb 22, 202229 y1
Michel Edouard LeblancVancouver, Bc Feb 24, 202220 y0
Matthew Sean LangsfordVancouver Jan 2, 202412 y0
Corinne Marie Moccia-CunhaVancouver Oct 11, 202430 y1
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Thomas William Jr Cox · Presidentcontrol
      since 08/2014 · owns less than 5%
    • Donald Duncan Macfayden · Cfo, Financial Principalcontrol
      since 05/2008 · owns less than 5%
    • Andrew Foster Viles · Chief Compliance Officercontrol
      since 06/2023 · owns less than 5%
    Entity owners
    • Canaccord Adams Financial Group Inc. · Equity Owner
      direct · owns 75% or more
    • Canaccord Genuity Group Inc. · Equity Owner
      indirect · owns 75% or more of Canaccord Adams Financial Group Inc.
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    • Winnipeg, Canada3 employees
    • Toronto, Canada2 employees
    • Calgary, Canada1 employees
    • Montreal, Canada1 employees
    • Edmonton, Canada1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 94 to 114
      Dec 2, 2025 to Jun 30, 2026
    • Advisory employees · 31 to 32
      Dec 2, 2025 to Jun 30, 2026
    • BD registered reps · 17 to 18
      Dec 2, 2025 to Jun 30, 2026
    • HNW clients · 36 to 29
      Dec 2, 2025 to Jun 30, 2026
    • Individual clients · 30 to 48
      Dec 2, 2025 to Jun 30, 2026
    • Employees · 31 to 32
      Dec 2, 2025 to Jun 30, 2026
    • State-registered IARs · 18 to 12
      Dec 2, 2025 to Jun 30, 2026
    • Discretionary RAUM · $101M to $135M
      Dec 2, 2025 to Jun 30, 2026
    • HNW RAUM · $87.5M to $117M
      Dec 2, 2025 to Jun 30, 2026
    • Individual RAUM · $12.3M to $16.3M
      Dec 2, 2025 to Jun 30, 2026
    • RAUM · $101M to $135M
      Dec 2, 2025 to Jun 30, 2026
    • Financial planning clients · unset to
      Jun 30, 2025 to Jul 17, 2025
    • Accounts · 79 to 94
      Feb 6, 2025 to Jun 30, 2025
    • Advisory employees · 7 to 31
      Feb 6, 2025 to Jun 30, 2025
    • BD registered reps · 6 to 17
      Feb 6, 2025 to Jun 30, 2025
    • Corporate clients · unset to 3.0
      Feb 6, 2025 to Jun 30, 2025
    • HNW clients · unset to 36.0
      Feb 6, 2025 to Jun 30, 2025
    • Individual clients · 79 to 30
      Feb 6, 2025 to Jun 30, 2025
    • Employees · 7 to 31
      Feb 6, 2025 to Jun 30, 2025
    • State-registered IARs · 0 to 18
      Feb 6, 2025 to Jun 30, 2025
    • Other offices · 5 to 6
      Feb 6, 2025 to Jun 30, 2025
    • Discretionary RAUM · $92.6M to $101M
      Feb 6, 2025 to Jun 30, 2025
    • HNW RAUM · unset to 87461555.0
      Feb 6, 2025 to Jun 30, 2025
    • Individual RAUM · $92.6M to $12.3M
      Feb 6, 2025 to Jun 30, 2025
    • RAUM · $92.6M to $101M
      Feb 6, 2025 to Jun 30, 2025
    • HQ state · unset to
      Sep 30, 2024 to Jan 21, 2025
    • Accounts · 69 to 79
      Apr 3, 2024 to Jun 26, 2024
    • Advisory employees · 8 to 7
      Apr 3, 2024 to Jun 26, 2024
    • BD registered reps · 5 to 6
      Apr 3, 2024 to Jun 26, 2024
    • Individual clients · 69 to 79
      Apr 3, 2024 to Jun 26, 2024
    • Employees · 8 to 7
      Apr 3, 2024 to Jun 26, 2024
    • Other offices · 4 to 5
      Apr 3, 2024 to Jun 26, 2024
    • Discretionary RAUM · $53.5M to $92.6M
      Apr 3, 2024 to Jun 26, 2024
    • Individual RAUM · $53.5M to $92.6M
      Apr 3, 2024 to Jun 26, 2024
    • RAUM · $53.5M to $92.6M
      Apr 3, 2024 to Jun 26, 2024
    • Accounts · 46 to 69
      Aug 5, 2022 to Jun 28, 2023
    • Advisory employees · 5 to 8
      Aug 5, 2022 to Jun 28, 2023
    • BD registered reps · 6 to 5
      Aug 5, 2022 to Jun 28, 2023
    • Individual clients · 46 to 69
      Aug 5, 2022 to Jun 28, 2023
    • Employees · 7 to 8
      Aug 5, 2022 to Jun 28, 2023
    Signals
    7 dated events
    • Canaccord Genuity Wealth Management reported 18 state-registered advisory representatives, up from 0 (2025-02-06 to 2025-06-30)
      Jun 30, 2025 · Advisor headcount change · derived
    • Diane Mottola Daly (Chief Compliance Officer) no longer on Schedule A of Canaccord Genuity Wealth Management (listed 2024-04-03, absent 2024-06-26)
      Jun 26, 2024 · Control person left · inference
    • Andrew Foster Viles (Chief Compliance Officer) appeared on Schedule A of Canaccord Genuity Wealth Management
      Jun 26, 2024 · Control person joined · fact
    • Diane Mottola Daly (Chief Compliance Officer) appeared on Schedule A of Canaccord Genuity Wealth Management
      May 20, 2021 · Control person joined · fact
    • Bruce Jeffrey Maranda (Vp, Chief Compliance Officer) no longer on Schedule A of Canaccord Genuity Wealth Management (listed 2021-04-19, absent 2021-05-20)
      May 20, 2021 · Control person left · inference
    • Mark Jason Van Koll (Vice President, Compliance Officer) no longer on Schedule A of Canaccord Genuity Wealth Management (listed 2021-04-19, absent 2021-05-20)
      May 20, 2021 · Control person left · inference
    • Canaccord Genuity Wealth Management filed its initial SEC registration (Form ADV)
      Oct 13, 2015 · 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
    604-643-7300reportedpublic record, Form ADV, Jun 30, 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
    $11.3Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026