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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

Q••••••••• I••••••••• G••••• L••

CRD 154113

DAVENPORT, IA

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Search this name across graphsid dfx:ria:813892ff-1523-5595-9ab0-669979936a17

Data as of Apr 16, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:28 AM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 0
On other graphs: 0
Observed: Feb 22, 2012 to Apr 16, 2026
55 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: independent wealth managerderivedprivate_client_share=0.84 fund_share=0.0 institutional_share=0.08 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $426MItem 5.F on the latest filing (2026-04-16); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $407M
Private client RAUM: $356MderivedItem 5.D individuals plus high net worth individuals
Private client share: 84%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 7
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
S•••• L•• S•••••••••	n/a	DAVENPORT, IA	16	29	3	no
L•••• A•• S••••	n/a	Saugerties, NY \| DAVENPORT, IA	16	26

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
L•••• A• S•••• T••••	Member	C	yes	01/2020	Jan 27, 2020	May 2, 2024
M••••••••• C••••••••• A••	CHIEF COMPLIANCE OFFICER & MEMBER	B	yes	04/2022	Mar 4, 2015

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; showing 15 of 16

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

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

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
2025	$426M	$376M	13.3%	$293M	13.2%	8	8	0	0

Relationships

Registered with (8)

← J••••• M•••••• H••••Advisorregistration: current employment
Oct 12, 2018 to presentfactForm ADV
← A•• L••• K•••••Advisorregistration: current employment
Jun 28, 2018 to presentfactForm ADV
← M••• M••••• G•••••••••Advisorregistration: current employment
Feb 1, 2016 to presentfactForm ADV
← C•••••••• A•• M••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:813892ff-1523-5595-9ab0-669979936a17
First observed: Feb 22, 2012
Last observed: Apr 16, 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.

2025	Apr 16, 2026	$426M	$407M	8	6	0	n/a	n/a
2024	Mar 21, 2025	$376M	$360M	8	6	0	n/a	n/a
2023	Mar 1, 2024	$333M	$319M	8	6	0	n/a	n/a
2022	Mar 20, 2023	$293M	$277M	8	6	0	n/a	n/a
2021	Mar 9, 2022	$328M	$312M	10	9	0	n/a	n/a
2020	Mar 25, 2021	$267M	$254M	9	7	0	n/a	n/a
2019	Jan 27, 2020	$225M	$213M	9	7	0	n/a	n/a
2018	Mar 1, 2019	$159M	$159M	9	7	0	n/a	n/a
2017	Mar 29, 2018	$170M	$170M	6	6	0	n/a	n/a
2016	Mar 8, 2017	$150M	$150M	7	6	n/a	n/a	n/a
2015	Mar 2, 2016	$139M	$139M	7	6	n/a	n/a	n/a
2014	Mar 4, 2015	$148M	$148M	6	5	n/a	n/a	n/a
2013	Mar 20, 2014	$151M	$151M	6	5	n/a	n/a	n/a
2012	Feb 27, 2013	$145M	$141M	6	4	n/a	n/a	n/a
2011	Feb 22, 2012	$125M	$123M	n/a	n/a	n/a	n/a	n/a