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.
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SEC-registered adviser
Q•••••• F•••••••• A••••••• I••
Latest filing Mar 26, 2026
First filing on the tape Mar 30, 2012 · 20 filings
SEC status approved since Jun 16, 2022
RAUM
$558M
reported, Item 5.F
Discretionary
27%
of RAUM
Private clients
32%
$178M individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$55.8M
derived; firm RAUM over IAPD count
Employees
10
7 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$558M as of Mar 26, 2026
Mar 30, 2012$53.4M then
HNW client RAUM$132M as of Mar 26, 2026
Mar 29, 2023$96.2M then
State-registered IARs (5.B.3)7 as of Mar 26, 2026
Mar 30, 20120 then
Employees (5.A)10 as of Mar 26, 2026
Mar 29, 20238 then
Private funds: no history
RAUM +241% over the last fiscal year+61% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $55.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 34derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $573,437derivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 27%derivedof RAUM
- Institutional
- 68%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.7derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +241%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$377M68%
- High-net-worth individuals$132M24%
- Individuals$46.1M8.3%
- Charitable organizations$3.0M0.5%
- Individual clients
- 110reported
- HNW clients
- 230reported
- Pension plan clients
- 23reported
- Charitable clients
- n/areported
- Accounts
- 364reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.32 fund_share=0.0 institutional_share=0.68 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••••• B•••••• M••••• | Rockville, Md | Jan 8, 2009 | 31 y | 1 |
| J••••• F•••••• R••••••• I•• | Rockville, Md | Nov 11, 2011 | 32 y | 0 |
| J••• A•••• W•••••••Chartered Financial Consultant | Pittsburgh, Pa | Apr 30, 2018 | 44 y | 2 |
| E••••••• N•••• I•• | Rockville, Md | Dec 12, 2019 | 36 y | 0 |
| M••• R•••••• T••••••• | Heathrow, Fl | Apr 3, 2023 | 28 y | 0 |
| H••••• R••••••• L•••• | Rockville, Md | Dec 5, 2023 | 32 y | 0 |
| M•••••• J•••• H•••• | Rockville, Md | Jan 7, 2025 | 13 y | 0 |
| J••••• J• S•••••••• | Rockville, Md | Feb 26, 2025 | 35 y | 1 |
| R•••••• L•• S•••• | Alexandria, Va | May 9, 2025 | 36 y | 1 |
| Y•••••••• L•Chartered Financial Analyst | Rockville, Md | Jun 2, 2025 | 22 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- R•••••• L•• S•••• from L•• F•••••••• L••May 9, 2025 · Affiliated broker-dealer or bank to independent RIA
- J••• A•••• W••••••• from S•••• F•••••••• A••••••• I••Apr 30, 2018 · Other
- A••••• B•••••• M••••• from E•••••••• A•••••••• L••Jan 8, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••••• I••• J•••••• F•••••• · President, Chief Compliance Officer & Chief Investment Officercontrolsince 06/1996 · owns 75% or more
Related persons
Schedule D 7.A
- J• S•••••••• • C••insurancen
- M••••• • A••••••••• L••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Rockville, Md · principal | 10 | 0 | 0 | ||
| Pittsburgh, Pa | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Coraopolis, PA2 employees
- , 1 employees
ADV anomalies
8 against comparable advisers; where to look, not conclusions
- RAUM up clients flatCombination · filing Mar 26, 2026RAUM grew 50 percent or more while private clients stayed within 5 percent: existing clients grew, a few large clients arrived, or a reporting change. RAUM $163,700,173 to $557,546,297, advisors 7 to 7, private clients 339 to 340, offices 5 to 5 (2025-03-20 to 2026-03-26)peers: independent wealth managers, $500M to $1B (1,482)
- wealth to institutional shiftCombination · filing Mar 26, 2026private-client share fell 15 points or more while institutional share rose 15 points or more. RAUM $163,700,173 to $557,546,297, advisors 7 to 7, private clients 339 to 340, offices 5 to 5 (2025-03-20 to 2026-03-26)peers: independent wealth managers, $500M to $1B (1,482)
- high institutional concentrationStatic outlier · filing Mar 26, 2026institutional share of RAUM of 68% against a peer median of 2% (1482 comparable advisers, 99.0th percentile, 22.4 robust deviations)peers: independent wealth managers, $500M to $1B (1,482) · 99% percentile
- HNW share shiftChange between filings · filing Mar 26, 2026HNW share of RAUM moved from 73.0% to 24.0% between the annual amendments of 2025-03-20 and 2026-03-26peers: independent wealth managers, $500M to $1B (1,482)
- institutional asset share shiftChange between filings · filing Mar 26, 2026institutional share of RAUM moved from 0.0% to 68.0% between the annual amendments of 2025-03-20 and 2026-03-26peers: independent wealth managers, $500M to $1B (1,482)
- discretionary share shiftChange between filings · filing Mar 26, 2026discretionary share of RAUM moved from 73.0% to 27.0% between the annual amendments of 2025-03-20 and 2026-03-26peers: independent wealth managers, $500M to $1B (1,482)
- RAUM up 50 %Change between filings · filing Mar 26, 2026RAUM (Item 5.F) moved from $163,700,173 to $557,546,297 (+241.0%) between the annual amendments of 2025-03-20 and 2026-03-26; the peer median change was +16.0% (1385 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,385) · 99% percentile
- client mix shiftChange between filings · filing Mar 26, 2026private-client share of RAUM moved from 100.0% to 32.0% between the annual amendments of 2025-03-20 and 2026-03-26peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 362 to 364Sep 12, 2025 to Mar 26, 2026
- HNW clients · 231 to 230Sep 12, 2025 to Mar 26, 2026
- Individual clients · 108 to 110Sep 12, 2025 to Mar 26, 2026
- Other offices · 6 to 5Sep 12, 2025 to Mar 26, 2026
- Discretionary RAUM · $127M to $151MSep 12, 2025 to Mar 26, 2026
- HNW RAUM · $120M to $132MSep 12, 2025 to Mar 26, 2026
- Individual RAUM · $44.2M to $46.1MSep 12, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $380M to $407MSep 12, 2025 to Mar 26, 2026
- Pension RAUM · $343M to $377MSep 12, 2025 to Mar 26, 2026
- RAUM · $507M to $558MSep 12, 2025 to Mar 26, 2026
- Accounts · 339 to 362Mar 20, 2025 to Sep 12, 2025
- Pension plan clients · unset to 23.0Mar 20, 2025 to Sep 12, 2025
- Financial planning clients · 0 to 0Mar 20, 2025 to Sep 12, 2025
- Other offices · 5 to 6Mar 20, 2025 to Sep 12, 2025
- Discretionary RAUM · $120M to $127MMar 20, 2025 to Sep 12, 2025
- Non-discretionary RAUM · $44.0M to $380MMar 20, 2025 to Sep 12, 2025
- Pension RAUM · unset to 343379126.0Mar 20, 2025 to Sep 12, 2025
- RAUM · $164M to $507MMar 20, 2025 to Sep 12, 2025
- Accounts · 332 to 339Dec 3, 2024 to Mar 20, 2025
- Advisory employees · 4 to 7Dec 3, 2024 to Mar 20, 2025
- HNW clients · 251 to 231Dec 3, 2024 to Mar 20, 2025
- Individual clients · 81 to 108Dec 3, 2024 to Mar 20, 2025
- State-registered IARs · 8 to 7Dec 3, 2024 to Mar 20, 2025
- Other offices · 3 to 5Dec 3, 2024 to Mar 20, 2025
- Discretionary RAUM · $102M to $120MDec 3, 2024 to Mar 20, 2025
- HNW RAUM · $102M to $120MDec 3, 2024 to Mar 20, 2025
- Individual RAUM · $38.8M to $44.2MDec 3, 2024 to Mar 20, 2025
- Non-discretionary RAUM · $40.9M to $44.0MDec 3, 2024 to Mar 20, 2025
- RAUM · $143M to $164MDec 3, 2024 to Mar 20, 2025
- Other offices · 4 to 3Mar 28, 2024 to Dec 3, 2024
- Accounts · 263 to 332Oct 31, 2023 to Mar 27, 2024
- Advisory employees · 3 to 4Oct 31, 2023 to Mar 27, 2024
- HNW clients · 221 to 251Oct 31, 2023 to Mar 27, 2024
- Individual clients · 21 to 81Oct 31, 2023 to Mar 27, 2024
- Employees · 8 to 10Oct 31, 2023 to Mar 27, 2024
- Financial planning clients · 1-10 to 0Oct 31, 2023 to Mar 27, 2024
- Other offices · 3 to 4Oct 31, 2023 to Mar 27, 2024
- Discretionary RAUM · $99.1M to $102MOct 31, 2023 to Mar 27, 2024
- HNW RAUM · $96.2M to $102MOct 31, 2023 to Mar 27, 2024
- Individual RAUM · $34.9M to $38.8MOct 31, 2023 to Mar 27, 2024
Signals
3 dated events
- Q•••••• F•••••••• A••••••• I•• reported RAUM $507.1M, up 210% from $163.7M (2025-03-20 to 2025-09-12)Sep 12, 2025 · RAUM change · derived
- Q•••••• F•••••••• A••••••• I•• reported 10 state-registered advisory representatives, up from 0 (2012-07-16 to 2022-05-16)May 16, 2022 · Advisor headcount change · derived
- Q•••••• F•••••••• A••••••• I•• filed its initial SEC registration (Form ADV)May 16, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 407-463-4778reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 301-296-6203reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 412-491-1963reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/Q••••••-FINANCIAL-ADVISORSreportedpublic record, Form ADV, Sep 18, 2026
- Website
- QFAINC.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 301-296-6203reportedpublic record, Form ADV, Mar 26, 2026
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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $55.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026