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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

QUEST CAPITAL STRATEGIES, INC.

CRD 16783

LAKE FOREST, CA

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:bd75fd61-2412-50be-04b1-2e666ad3e27c

Data as of Oct 24, 2019 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 102
Dated events: 3
On other graphs: 0
Observed: Apr 2, 2013 to Oct 24, 2019
49 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: $23.8MItem 5.F on the latest filing (2019-10-24); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $23.8M
Private client RAUM: $23.8MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees: 7
Offices: 73Schedule D 1.F, beyond the principal office
Accounts: 105
Individual clients: 68
High net worth clients: 37
SEC number: 801-77927
CRD: 16783
Filings on the tape: 49
First filed: Apr 2, 2013
Latest filed: Oct 24, 2019
Organised: Corporation, California

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
FORBES, TIFFANY KAY	DEPUTY CCO	Na	yes	07/2018	Jun 23, 2019	Oct 24, 2019
TRAYNOR, TERRY SHAWN	COMPLIANCE OFFICER	Na	yes	01/2017	Feb 28, 2017	Oct 24, 2019
TSAI, CAROLYNE	CFO, FIN OP	E	yes	11/2002	Apr 2, 2013	Oct 24, 2019

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
2018	Mar 29, 2019	$54.6M	$54.6M	7	7	73	n/a	n/a
2017	Mar 13, 2018	$55.6M	$55.6M	10	4	65	n/a	n/a
2016	Feb 28, 2017	$35.0M	$30.0M	10	2	n/a	n/a	n/a
2015	Mar 30, 2016	$33.0M	$28.0M	10	2	n/a	n/a	n/a
2014	Feb 6, 2015	$34.4M	$28.9M	10	2	n/a	n/a	n/a
2013	May 5, 2014	$23.4M	$20.9M	10	2	n/a	n/a	n/a

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
2018	$23.8M	$55.6M	-57.2%	$33.0M	-10.3%	7	10	73	65

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
INVESTACORP ADVISORY SERVICES INC	2	Dec 13, 2017	Jan 24, 2018	LAGUNA HILLS, CA	Team lift out	Other	7.1%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
MML INVESTORS SERVICES, LLC	2	Sep 26, 2017	Nov 17, 2017	PEACHTREE CORNERS, GA	Team lift out	Other	0.1%

Relationships

showing 80 of 102

Controls (3)

← TSAI, CAROLYNEOwnerCFO, FIN OP, ownership code E, individual
Apr 2, 2013 to presentfactForm ADV
← TRAYNOR, TERRY SHAWNOwnerCOMPLIANCE OFFICER, ownership code NA, individual
Feb 28, 2017 to presentfactForm ADV
← FORBES, TIFFANY KAYOwnerDEPUTY CCO, ownership code NA, individual
Jun 23, 2019 to presentfactForm ADV

Registered with (71)

← Steven Lowell SmithAdvisorregistration: previous registration
May 1, 2018 to Dec 23, 2019factForm ADV
← KENNETH YUENAdvisorregistration: previous registration
May 18, 2007 to Dec 23, 2019factForm ADV
← Carlton John EbnethAdvisorregistration: previous registration
Jun 12, 2019 to Dec 23, 2019factForm ADV
← ANDREW IAN MASONAdvisorregistration: previous registration
Sep 29, 2009 to Dec 23, 2019factForm ADV
← Richard Sheldon HaraderAdvisorregistration: previous registration
Feb 12, 2016 to Dec 23, 2019factForm ADV
← PATRICK JOSEPH REARDONAdvisorregistration: previous registration
Jan 8, 2009 to Dec 23, 2019factForm ADV
← MARK JERRY BRAVERMANAdvisorregistration: previous registration
Aug 20, 2009 to Dec 6, 2019factForm ADV
← JOHN ROBERT MCCARTHYAdvisorregistration: previous registration
Jan 24, 2013 to Dec 6, 2019factForm ADV
← MARIA MCKEON GREGORIEVAdvisorregistration: previous registration
Aug 12, 2013 to Dec 6, 2019factForm ADV
← JOSEPH ANTHONY DAMBROSIOAdvisorregistration: previous registration
Jul 31, 2017 to Dec 6, 2019factForm ADV
← GARY EDWIN UNGAdvisorregistration: previous registration
Sep 21, 2018 to Dec 6, 2019factForm ADV
← ROBERT CHARLES MILLERAdvisorregistration: previous registration
Jul 1, 2014 to Dec 6, 2019factForm ADV
← KRISTYN SPATES BAYLESAdvisorregistration: previous registration
Mar 17, 2014 to Dec 6, 2019factForm ADV
← CRAIG WILLIAM TROJAHNAdvisorregistration: previous registration
Jan 14, 2014 to Dec 6, 2019factForm ADV
← LESLIE CAMERON FINNAdvisorregistration: previous registration
Jun 13, 2014 to Dec 6, 2019factForm ADV
← SANG CHANG YIAdvisorregistration: previous registration
Feb 1, 2008 to Dec 6, 2019factForm ADV
← THOMAS RAYMOND NEWBAUERAdvisorregistration: previous registration
Jun 29, 2005 to Dec 6, 2019factForm ADV
← Kingston Julio WongAdvisorregistration: previous registration
Oct 30, 2018 to Dec 6, 2019factForm ADV
← MICHAEL TSIAKLIDESAdvisorregistration: previous registration
Mar 20, 2018 to Dec 6, 2019factForm ADV
← ROBERT BLAIR GRAHAMAdvisorregistration: previous registration
Jan 4, 2019 to Dec 6, 2019factForm ADV
← MICHAEL THOMAS LUCHTENBURGAdvisorregistration: previous registration
Mar 6, 2014 to Dec 6, 2019factForm ADV
← JOE MORRIS ZIMMERMANAdvisorregistration: previous registration
Jan 6, 2005 to Dec 6, 2019factForm ADV
← UMA S MURTHYAdvisorregistration: previous registration
Feb 20, 2008 to Dec 6, 2019factForm ADV
← NALIN BHATTAdvisorregistration: previous registration
Jan 7, 2008 to Dec 6, 2019factForm ADV
← Bart Francis DiChiaroAdvisorregistration: previous registration
Apr 19, 2017 to Dec 6, 2019factForm ADV
← Robert John EricksonAdvisorregistration: previous registration
Aug 15, 2017 to Dec 6, 2019factForm ADV
← ERIC WEI TING LINAdvisorregistration: previous registration
Apr 27, 2018 to Dec 6, 2019factForm ADV
← BRIAN JOHN TEWKSBURYAdvisorregistration: previous registration
Jun 19, 2013 to Dec 6, 2019factForm ADV
← William W. PengAdvisorregistration: previous registration
Mar 21, 2018 to Dec 6, 2019factForm ADV
← PRANAY PATELAdvisorregistration: previous registration
Feb 12, 2013 to Dec 6, 2019factForm ADV
and 41 more

Moved with (2)

→ INVESTACORP ADVISORY SERVICES INCRegistered adviser2 advisors, team lift out, same day
Dec 13, 2017 to Jan 24, 2018factForm ADV
← MML INVESTORS SERVICES, LLCRegistered adviser2 advisors, team lift out
Sep 26, 2017 to Nov 17, 2017factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Jun 23, 2019
Control person joined
Tiffany Kay Forbes (Deputy Cco) appeared on Schedule A of Quest Capital Strategies, Inc.
Form ADVobserved 6 days ago
Occurred
Apr 2, 2013
First Form ADV filing
Quest Capital Strategies, Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Show 1 bookkeeping events

Occurred
Mar 29, 2019
Quest Capital Strategies, Inc. reported 73 offices beyond its principal office, up from 65 (2019-01-03 to 2019-03-29)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bd75fd61-2412-50be-04b1-2e666ad3e27c
First observed: Apr 2, 2013
Last observed: Oct 24, 2019 84 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.

QUEST CAPITAL STRATEGIES, INC.

CRD 16783

LAKE FOREST, CA

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:bd75fd61-2412-50be-04b1-2e666ad3e27c

Data as of Oct 24, 2019 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:18 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

FORBES, TIFFANY KAY

DEPUTY CCO

yes

07/2018

Jun 23, 2019

Oct 24, 2019

TRAYNOR, TERRY SHAWN

COMPLIANCE OFFICER

yes

01/2017

Feb 28, 2017

Oct 24, 2019

TSAI, CAROLYNE

CFO, FIN OP

yes

11/2002

Apr 2, 2013

Oct 24, 2019

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Mar 29, 2019

$54.6M

n/a

2017

Mar 13, 2018

$55.6M

n/a

2016

Feb 28, 2017

$35.0M

$30.0M

n/a

2015

Mar 30, 2016

$33.0M

$28.0M

n/a

2014

Feb 6, 2015

$34.4M

$28.9M

n/a

2013

May 5, 2014

$23.4M

$20.9M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2018

$23.8M

$55.6M

-57.2%

$33.0M

-10.3%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

INVESTACORP ADVISORY SERVICES INC

Dec 13, 2017

Jan 24, 2018

LAGUNA HILLS, CA

Team lift out

Other

7.1%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

MML INVESTORS SERVICES, LLC

Sep 26, 2017

Nov 17, 2017

PEACHTREE CORNERS, GA

Team lift out

Other

0.1%