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K•• Q•••• F••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

K•• Q•••• F••••••••• L••

CRD 123983

NASHVILLE, TN

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Search this name across graphsid dfx:ria:0289d0bb-1367-9cb1-9c9e-551566803dcc

Data as of Jan 26, 2024 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:44 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 8
On other graphs: 0
Observed: Dec 20, 2011 to Jan 26, 2024
33 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $123MItem 5.F on the latest filing (2024-01-26); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $123M
Private client RAUM: $123MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
Q••••• C••••••••• V•• E••••	MEMBER, CHIEF COMPLIANCE OFFICER	E	yes	04/2002	Dec 20, 2011	Jan 26, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•••••••• V• Q••••	n/a	n/a	n/a	Y	no	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$123M	$100M	22.6%	$259M	-22.0%	1	2	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
A• A•••••••	2	Nov 18, 2022	Oct 5, 2022	NASHVILLE, TN	Team lift out	RIA to RIA	100.0%

Relationships

Controls (1)

← Q••••• C••••••••• V•• E••••OwnerMEMBER, CHIEF COMPLIANCE OFFICER, ownership code E, individual
Dec 20, 2011 to presentfactForm ADV

Registered with (3)

← JOHN PROVINCE STAUFFERAdvisorregistration: previous registration
Mar 17, 2009 to Nov 18, 2022factForm ADV
← GEORGE ANDREW Q••••Advisorregistration: previous registration
Jan 7, 2011 to Nov 18, 2022factForm ADV
←

Dated events

Occurred
Mar 13, 2023
Regulatory AUM changed
K•• Q•••• F••••••••• L•• reported RAUM $100.3M, down 69% from $322.5M (2022-11-18 to 2023-03-13)
Form ADVobserved 7 days ago
$-222M
Occurred
Nov 18, 2022
Team lift-out
2 advisors left K•• Q•••• F••••••••• L•• (Nashville, TN) for A• A••••••• on the same day
Form ADVobserved 7 days ago
2 advisors
Occurred
Nov 18, 2022
Advisor changed firm
John Province Stauffer left K•• Q•••• F••••••••• L•• for A• A••••••• (registered 2022-10-05)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0289d0bb-1367-9cb1-9c9e-551566803dcc
First observed: Dec 20, 2011
Last observed: Jan 26, 2024 32 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.