DFX Intelligence

Q••••••••• G•••: 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 adviserformer SEC advisernot on rosterRAUM none

Q••••••••• G•••

CRD 304172

GRUNWALD

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:c462f30f-926d-b24e-dd0e-4791bb328847

Data as of Dec 1, 2020 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:36 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Jul 11, 2019 to Dec 1, 2020
7 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
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 16
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
SEC number: 801-117149
CRD: 304172

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M•••••• M••••••• N••	CHIEF FINANCIAL OFFICER / CHIEF COMPLIANCE OFFICER	B	yes	06/2018	Jul 11, 2019	Dec 1, 2020
T•••••• S•••••• N••	CHIEF EXECUTIVE OFFICER	C	yes	06/2018	Jul 11, 2019	Dec 1, 2020

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
Q••••••••• C•••••• G•••	n/a	Former SEC adviser	$16.0M	N	yes	n/a

Relationships

Affiliated with (1)

→ Q••••••••• C•••••• G•••Registered adviserother investment adviser, bank, common control
factForm ADV

Controls (2)

← T•••••• S•••••• N••OwnerCHIEF EXECUTIVE OFFICER, ownership code C, individual
Jul 11, 2019 to presentfactForm ADV
← M•••••• M••••••• N••OwnerCHIEF FINANCIAL OFFICER / CHIEF COMPLIANCE OFFICER, ownership code B, individual
Jul 11, 2019 to presentfactForm ADV

Owns (5)

Dated events

Occurred
Jul 11, 2019
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c462f30f-926d-b24e-dd0e-4791bb328847
First observed: Jul 11, 2019
Last observed: Dec 1, 2020 70 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.