DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

Q••••• Y••

Q•••• C••••••• L••independent RIANew York, NyIA-onlyIAPD 7637503

Feed of 09/14/2026

At current firm

0 y

since Mar 31, 2026

In the industry

10 y

since Nov 1, 2015 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Q•••• C••••••• L•• independent RIA current
since Mar 31, 2026 · New York, Ny
J••• M••••• S••••••••• L•• wirehouse
Dec 5, 2025 to Feb 18, 2026 · New York, Ny
O•••• W•••••• I••• BD affiliated
Jun 14, 2024 to Nov 11, 2025 · New York, Ny
S••••••••• A•••••• A•••••••• I••• former
May 2, 2024 to Jun 14, 2024 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

J••• M••••• S••••••••• L•• to Q•••• C••••••• L••
left Feb 18, 2026, registered Mar 31, 2026 (41 days) · Wirehouse to independent RIA
O•••• W•••••• I••• to J••• M••••• S••••••••• L••
left Nov 11, 2025, registered Dec 5, 2025 (24 days) · Affiliated broker-dealer or bank to wirehouse
S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••
left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move

Signals

Q••••• Y•• left J••• M••••• S••••••••• L•• for Q•••• C••••••• L•• (registered 2026-03-31)
Feb 18, 2026 · Advisor changed firm · fact
Q••••• Y•• left O•••• W•••••• I••• for J••• M••••• S••••••••• L•• (registered 2025-12-05)
Nov 11, 2025 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Independent wealth managerderived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address