DFX Intelligence

Q••• C••••••• A•••• M••••••••• A•: registered adviser on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserother adviserSEC registeredRAUM 1b 10b

Q••• C••••••• A•••• M••••••••• A•

Q••• C••••••• A•••• M•••••••••, CRD 170341

ZUG

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:4f053c17-674d-7529-9faf-6c244c7f8d92

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:55 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 6
On other graphs: 0
Observed: Mar 18, 2014 to Mar 30, 2026
14 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: other adviserderivedprivate_client_share=0.0 fund_share=0.16 institutional_share=0.12 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $6.6B••• Locked
Discretionary RAUM: $4.2B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 10

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M••••••••• J•••	CCO, BOARD MEMBER	A	yes	11/2012	Mar 18, 2014	Mar 20, 2024
P••••••• M•••••	MEMBER OF MANAGEMENT	Na	yes	09/2012	Mar 18, 2014	Mar 20, 2024

Regulatory AUM by fiscal year

••• Locked

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

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$6.6B	$6.0B	10.6%	$5.4B	6.7%	10	10	0	0

Relationships

Controls (3)

← S••••• T•••••OwnerCEO, ownership code E, individual
Mar 18, 2014 to Mar 20, 2024factForm ADV
← M••••••••• J•••OwnerCCO, BOARD MEMBER, ownership code A, individual
Mar 18, 2014 to Mar 20, 2024factForm ADV
← P••••••• M•••••OwnerMEMBER OF MANAGEMENT, ownership code NA, individual
Mar 18, 2014 to Mar 20, 2024factForm ADV

Dated events

Occurred
Jun 4, 2020
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Jun 4, 2020
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Jun 4, 2020
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Jun 4, 2020
Control person left

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4f053c17-674d-7529-9faf-6c244c7f8d92
First observed: Mar 18, 2014
Last observed: Mar 30, 2026 5 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.