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.

Former SEC-registered adviser

Mcqueen, Ball & Associates Inc.

Former SEC-registered adviserBethlehem, PennsylvaniaCRD 104663SEC 801-21989IAPD
Latest filing Apr 23, 2019
First filing on the tape Mar 21, 2012 · 14 filings
RAUM
$1.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$1.2B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
15
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$1.2B as of Mar 1, 2019
Mar 21, 2012$1.0B then
HNW client RAUM$1.1B as of Mar 1, 2019
Mar 13, 2018$1.1B then
State-registered IARs (5.B.3)5 as of Mar 1, 2019
Mar 20, 20134 then
Employees (5.A)15 as of Mar 1, 2019
Mar 20, 201314 then
Private funds: no history
RAUM -5.0% over the last fiscal year+2.2% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Apr 23, 2019; every figure names its basis
RAUM per advisor
$244MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
56derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$7.1MderivedHNW RAUM over HNW clients
Average account
$1.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-5.0%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-0.4%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody
$7.8M, 4 clientsreportedItem 9.A
Ownership
controlled by a public reporting companyderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$1.1B91%
  • Corporations and businesses$52.6M4.3%
  • Individuals$42.1M3.5%
  • Charitable organizations$6.6M0.5%
  • Pension and profit-sharing plans$3.2M0.3%
Individual clients
125reported
HNW clients
157reported
Pension plan clients
n/areported
Charitable clients
10reported
Accounts
1,081reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$7.8M for 4 clientsreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Robert Todd Fungard · Chief Investment Officercontrol
      since 06/2015 · owns 10% to 25%
    • Blaine Jerry Mcqueen · Presidentcontrol
      since 07/1981 · owns 50% to 75%
    • Jason Michael Peters · Directorcontrol
      since 06/2011 · owns 10% to 25%
    • Eric Scott Polter · Chief Operating Officer, Chief Compliance Officercontrol
      since 06/2013 · owns less than 5%
    • John William Schultz · Managing Directorcontrol
      since 07/2001 · owns 10% to 25%
    Related persons
    Schedule D 7.A
    Advisers that list Mcqueen, Ball & Associates Inc. as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Related broker-dealer · false to true
      Mar 1, 2019 to Apr 23, 2019
    • Accounts · 1,054 to 1,081
      Mar 13, 2018 to Mar 1, 2019
    • Charity clients · 5 to 10
      Mar 13, 2018 to Mar 1, 2019
    • Corporate clients · 10 to 8
      Mar 13, 2018 to Mar 1, 2019
    • HNW clients · 156 to 157
      Mar 13, 2018 to Mar 1, 2019
    • Individual clients · 127 to 125
      Mar 13, 2018 to Mar 1, 2019
    • Assets in custody · $144M to $7.8M
      Mar 13, 2018 to Mar 1, 2019
    • Discretionary RAUM · $1.3B to $1.2B
      Mar 13, 2018 to Mar 1, 2019
    • HNW RAUM · $1.1B to $1.1B
      Mar 13, 2018 to Mar 1, 2019
    • Individual RAUM · $44.3M to $42.1M
      Mar 13, 2018 to Mar 1, 2019
    • Pension RAUM · $3.2M to $3.2M
      Mar 13, 2018 to Mar 1, 2019
    • RAUM · $1.3B to $1.2B
      Mar 13, 2018 to Mar 1, 2019
    • Accounts · 1,035 to 1,054
      Mar 7, 2017 to Mar 13, 2018
    • Advisory employees · 6 to 7
      Mar 7, 2017 to Mar 13, 2018
    • Charity clients · unset to 5.0
      Mar 7, 2017 to Mar 13, 2018
    • Corporate clients · unset to 10.0
      Mar 7, 2017 to Mar 13, 2018
    • HNW clients · unset to 156.0
      Mar 7, 2017 to Mar 13, 2018
    • Individual clients · unset to 127.0
      Mar 7, 2017 to Mar 13, 2018
    • Assets in custody · $132M to $144M
      Mar 7, 2017 to Mar 13, 2018
    • Employees · 16 to 15
      Mar 7, 2017 to Mar 13, 2018
    • Insurance-licensed employees · 0 to 3
      Mar 7, 2017 to Mar 13, 2018
    • Other offices · unset to 0.0
      Mar 7, 2017 to Mar 13, 2018
    • Discretionary RAUM · $1.2B to $1.3B
      Mar 7, 2017 to Mar 13, 2018
    • HNW RAUM · unset to 1138038409.0
      Mar 7, 2017 to Mar 13, 2018
    • Individual RAUM · unset to 44321195.0
      Mar 7, 2017 to Mar 13, 2018
    • Pension RAUM · unset to 3150745.0
      Mar 7, 2017 to Mar 13, 2018
    • RAUM · $1.2B to $1.3B
      Mar 7, 2017 to Mar 13, 2018
    • Accounts · 1,037 to 1,035
      Mar 4, 2016 to Mar 7, 2017
    • Advisory employees · 5 to 6
      Mar 4, 2016 to Mar 7, 2017
    • Assets in custody · $188M to $132M
      Mar 4, 2016 to Mar 7, 2017
    • Employees · 15 to 16
      Mar 4, 2016 to Mar 7, 2017
    • Financial planning clients · 101-250 to 251-500
      Mar 4, 2016 to Mar 7, 2017
    • State-registered IARs · 4 to 5
      Mar 4, 2016 to Mar 7, 2017
    • Discretionary RAUM · $1.1B to $1.2B
      Mar 4, 2016 to Mar 7, 2017
    • RAUM · $1.1B to $1.2B
      Mar 4, 2016 to Mar 7, 2017
    • Related adviser · false to true
      Mar 4, 2016 to Mar 7, 2017
    • Accounts · 1,156 to 1,037
      May 29, 2015 to Mar 4, 2016
    • Business name · MCQUEEN BALL & ASSOCIATES INC to MCQUEEN, BALL & ASSOCIATES INC.
      May 29, 2015 to Mar 4, 2016
    • Assets in custody · $220M to $188M
      May 29, 2015 to Mar 4, 2016
    • Employees · 14 to 15
      May 29, 2015 to Mar 4, 2016
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026