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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Former SEC-registered adviser
Q•••• C•••••• M••••••••• I•••
Legal name Q•••• C•••••• M••••••••• L••
Latest filing Mar 22, 2022
First filing on the tape Mar 27, 2012 · 28 filings
RAUM
$1.2B
reported, Item 5.F
Discretionary
87%
of RAUM
Private clients
100%
$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
24
13 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$1.2B as of Mar 30, 2021
Mar 27, 2012$728M then
HNW client RAUM$1.1B as of Mar 30, 2021
Mar 28, 2018$931M then
State-registered IARs (5.B.3)13 as of Mar 30, 2021
Mar 27, 20120 then
Employees (5.A)24 as of Mar 30, 2021
Mar 8, 201322 then
Private funds: no history
RAUM +7.0% over the last fiscal year+5.7% a year over threeIARs 12 to 13
Practice profile
derived from the filing of Mar 22, 2022; every figure names its basis
- RAUM per advisor
- $94.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 42derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $648,011derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 87%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 13.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +8.3%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.6%derived
- Compensation
- percentage of assets, fixed fees, commissions, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Wrap fee program
- $117MreportedItem 5.I
- Custody
- $34.6M, 11 clientsreportedItem 9.A
- 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
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.1B92%
- Individuals$97.6M8.0%
- Individual clients
- 242reported
- HNW clients
- 299reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,891reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $1.1B managedreported
- Custody of client assets
- $34.6M for 11 clientsreported
- Compensation
- % of AUM, fixed, commissionsreported
- 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
- L•••• C• F••••••• to M••••• G••••• A••••••• I•••Mar 22, 2022 · RIA to RIA
- T•••••• D• G•••• to M••••• G••••• A••••••• I•••Mar 22, 2022 · RIA to RIA
- D•••••• C• T••••• to M••••• G••••• A••••••• I•••Mar 22, 2022 · RIA to RIA
- K••••• B• B••••••• to M••••• G••••• A••••••• I•••Mar 22, 2022 · RIA to RIA
- R••••• A• C•• to M••••• G••••• A••••••• I•••Mar 22, 2022 · RIA to RIA
- C••••••••• S• Y•••• to M••••• G••••• A••••••• I•••Mar 22, 2022 · RIA to RIA
- C•••••• R• E•••• to M••••• G••••• A••••••• I•••Mar 22, 2022 · RIA to RIA
- J••••••••• S••••• D•••••• to M••••• G••••• A••••••• I•••Mar 22, 2022 · RIA to RIA
- P•••• R•••• P••••••• to C••••• I••••••••• A••••••• L••Aug 9, 2021 · RIA to affiliated broker-dealer or bank
- S••••• G•••••• G••••• to F•• S••••••••• C•••••••••Apr 20, 2020 · RIA to affiliated broker-dealer or bank
- J••••••• C•••• P•••• to C••••••• P•••••••Oct 1, 2019 · RIA to RIA
- C•••• Y•••• H•••••• to B••••• H•••••Jun 13, 2019 · RIA to RIA
- C•••••••• M••••••• S••••••• to Y•• W•••••Feb 19, 2019 · RIA to RIA
- K•••• M•••• H•••••••• to W••••• C••••••• G•••• L••Feb 1, 2019 · RIA to RIA
- M••••• L•• L••••••• to C•••••• C•••••• A••••••• I•••May 10, 2018 · RIA to a state-registered adviser
Joined, latest
- C•••••• R• E•••• from F••••••• P••••••• A•• W•••••••• A•••••••Jun 30, 2020 · Affiliated broker-dealer or bank to independent RIA
- J••••••••• S••••• D•••••• from B•••••• W••••• A•••••••• L••Mar 24, 2020 · Other
- S••••• G•••••• G••••• from O•••• W••••• M••••••••• L••Feb 29, 2016 · Other
- T•••••• D• G•••• from L•• F•••••••• L••Sep 26, 2012 · Other
- M••••• L•• L••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Mar 9, 2011 · Other
- K••••••• A••• V••••• from C••••••• W••••• A•••••••• L••Mar 9, 2011 · Other
- K•••• W••• B••••• from M•• I•••••••• S•••••••• L••Jul 16, 2007 · Other
- K•• F••••• K••••• from R•••••• J•••• F•••••••• S•••••••• I•••Jul 16, 2007 · Other
- E••• S•••••• S•••••• from R•• C•••••• M••••••• L••Jul 26, 2006 · Other
- R••••• A• C•• from R•••••• J•••• F•••••••• S•••••••• I•••Jan 28, 2005 · Other
- C••••••••• S• Y•••• from R•••••• J•••• F•••••••• S•••••••• I•••Feb 12, 2001 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 8 left for M••••• G••••• A••••••• I•••Mar 22, 2022 · Dallas, Tx · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• K•••••• B••• · President/ Shareholdercontrolsince 01/2011 · owns less than 5%
- C••• R•••••• A•••• · Shareholder/Vice Presidentcontrolsince 03/2014 · owns less than 5%
- K•••••••• C•••• J••••• · Secretary/Shareholdercontrolsince 01/2011 · owns less than 5%
- M••••• D•••••• J•• · Chief Operating Officer, Shareholdercontrolsince 03/2015 · owns less than 5%
- Y••••• C••••••••• S•••• · Treasurer/Chief Compliance Officer/ Shareholdercontrolsince 01/2011 · owns less than 5%
- F•••••••• L••••• C••••••• · Shareholdersince 12/2016 · owns less than 5%
Entity owners
- M••••• G••••• A••••••• I••• · Parent Companydirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Legal name · Q•••• C•••••• M••••••••• I••• to Q•••• CAPITAL MANAGEMENT LLCFeb 4, 2022 to Mar 22, 2022
- Succession · true to falseFeb 4, 2022 to Mar 22, 2022
- Organization form · Corporation to Limited Liability CompanyDec 10, 2021 to Feb 4, 2022
- Succession · false to trueDec 10, 2021 to Feb 4, 2022
- Accounts · 1,846 to 1,891Jun 25, 2020 to Mar 30, 2021
- Advisory employees · 12 to 13Jun 25, 2020 to Mar 30, 2021
- Advisory activities · 4 to 3Jun 25, 2020 to Mar 30, 2021
- BD registered reps · 12 to 0Jun 25, 2020 to Mar 30, 2021
- HNW clients · 280 to 299Jun 25, 2020 to Mar 30, 2021
- Individual clients · 258 to 242Jun 25, 2020 to Mar 30, 2021
- Assets in custody · $38.4M to $34.6MJun 25, 2020 to Mar 30, 2021
- Employees · 23 to 24Jun 25, 2020 to Mar 30, 2021
- State-registered IARs · 12 to 13Jun 25, 2020 to Mar 30, 2021
- Discretionary RAUM · $989M to $1.1BJun 25, 2020 to Mar 30, 2021
- HNW RAUM · $1.0B to $1.1BJun 25, 2020 to Mar 30, 2021
- Individual RAUM · $104M to $97.6MJun 25, 2020 to Mar 30, 2021
- Non-discretionary RAUM · $156M to $158MJun 25, 2020 to Mar 30, 2021
- RAUM · $1.1B to $1.2BJun 25, 2020 to Mar 30, 2021
- Wrap assets (manager) · $982M to $1.1BJun 25, 2020 to Mar 30, 2021
- Accounts · 1,793 to 1,846Mar 26, 2019 to Mar 27, 2020
- BD registered reps · 11 to 12Mar 26, 2019 to Mar 27, 2020
- HNW clients · 249 to 280Mar 26, 2019 to Mar 27, 2020
- Individual clients · 288 to 258Mar 26, 2019 to Mar 27, 2020
- Assets in custody · $23.4M to $38.4MMar 26, 2019 to Mar 27, 2020
- Employees · 21 to 23Mar 26, 2019 to Mar 27, 2020
- State-registered IARs · 13 to 12Mar 26, 2019 to Mar 27, 2020
- Discretionary RAUM · $825M to $989MMar 26, 2019 to Mar 27, 2020
- HNW RAUM · $839M to $1.0BMar 26, 2019 to Mar 27, 2020
- Individual RAUM · $114M to $104MMar 26, 2019 to Mar 27, 2020
- Non-discretionary RAUM · $128M to $156MMar 26, 2019 to Mar 27, 2020
- RAUM · $953M to $1.1BMar 26, 2019 to Mar 27, 2020
- Wrap assets (manager) · $810M to $982MMar 26, 2019 to Mar 27, 2020
- Accounts · 1,767 to 1,793Oct 16, 2018 to Mar 26, 2019
- Advisory employees · 16 to 12Oct 16, 2018 to Mar 26, 2019
- BD registered reps · 15 to 11Oct 16, 2018 to Mar 26, 2019
- HNW clients · 260 to 249Oct 16, 2018 to Mar 26, 2019
- Individual clients · 258 to 288Oct 16, 2018 to Mar 26, 2019
- Assets in custody · $25.6M to $23.4MOct 16, 2018 to Mar 26, 2019
- Employees · 24 to 21Oct 16, 2018 to Mar 26, 2019
- Financial planning clients · 251-500 to 101-250Oct 16, 2018 to Mar 26, 2019
Signals
10 dated events
- C••••••••• S• Y•••• left Q•••• C•••••• M••••••••• I••• for M••••• G••••• A••••••• I••• (registered 2021-12-21)Mar 22, 2022 · Advisor changed firm · fact
- C•••••• R• E•••• left Q•••• C•••••• M••••••••• I••• for M••••• G••••• A••••••• I••• (registered 2021-11-08)Mar 22, 2022 · Advisor changed firm · fact
- J••••••••• S••••• D•••••• left Q•••• C•••••• M••••••••• I••• for M••••• G••••• A••••••• I••• (registered 2021-11-09)Mar 22, 2022 · Advisor changed firm · fact
- K••••• B• B••••••• left Q•••• C•••••• M••••••••• I••• for M••••• G••••• A••••••• I••• (registered 2021-11-23)Mar 22, 2022 · Advisor changed firm · fact
- D•••••• C• T••••• left Q•••• C•••••• M••••••••• I••• for M••••• G••••• A••••••• I••• (registered 2021-11-22)Mar 22, 2022 · Advisor changed firm · fact
- L•••• C• F••••••• left Q•••• C•••••• M••••••••• I••• for M••••• G••••• A••••••• I••• (registered 2021-11-22)Mar 22, 2022 · Advisor changed firm · fact
- R••••• A• C•• left Q•••• C•••••• M••••••••• I••• for M••••• G••••• A••••••• I••• (registered 2021-11-19)Mar 22, 2022 · Advisor changed firm · fact
- T•••••• D• G•••• left Q•••• C•••••• M••••••••• I••• for M••••• G••••• A••••••• I••• (registered 2021-11-02)Mar 22, 2022 · Advisor changed firm · fact
- Q•••• C•••••• M••••••••• I•••'s advisors moved to M••••• G••••• A••••••• I••• (Dallas, TX): 8 of 8 registered, on the same dayMar 22, 2022 · Firm absorbed (people side) · derived
- Q•••• C•••••• M••••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Feb 4, 2022 · Succession (Item 4) · fact
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