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.

SEC-registered adviser

Quality Financial Concepts

Independent wealth managerMaryville, TennesseeCRD 118886SEC 801-136332websiteIAPD
Legal name Qfc Advisory LLC
Latest filing Jun 2, 2026
First filing on the tape May 7, 2026 · 2 filings
SEC status approved since May 21, 2026
RAUM
$129M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
92%
$119M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$64.4M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$129M as of Jun 2, 2026
May 7, 2026$129M then
HNW client RAUM$47.3M as of Jun 2, 2026
May 7, 2026$47.3M then
State-registered IARs (5.B.3)2 as of Jun 2, 2026
May 7, 20262 then
Employees (5.A)4 as of Jun 2, 2026
May 7, 20264 then
Private funds: no history
Practice profile
derived from the filing of Jun 2, 2026; every figure names its basis
Archetypes, each a printed rule
  • Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$64.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
103derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.8MderivedHNW RAUM over HNW clients
Average account
$216,541derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 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
  • Individuals$71.3M56%
  • High-net-worth individuals$47.3M37%
  • Corporations and businesses$5.8M4.6%
  • Pension and profit-sharing plans$2.6M2.1%
Individual clients
179reported
HNW clients
27reported
Pension plan clients
1reported
Charitable clients
0reported
Accounts
595reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.92 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Michael Shane SmithCertified Financial PlannerMaryville, TnAug 16, 201815 y0
James Douglas HornCertified Financial PlannerMaryville, TnAug 16, 201839 y0
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 50% of current headcount1 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
    Entity owners
    • Quality Financial Concepts LLC · Member
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Advisers that list Quality Financial Concepts as a related person
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Maryville, Tn · principal201
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    One filing, no change to show.
    Signals
    1 dated events
    • Kristi D Hill left Quality Financial Concepts for Ameriprise Financial Services, Llc (registered 2025-10-28)
      Oct 24, 2025 · Advisor changed firm · 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
    865-984-3550reportedpublished by the firm, firm site, Sep 17, 2026
    Business phone
    865-984-6161reportedpublished by the firm, firm site, Sep 17, 2026
    Website
    GOQFC.COMreportedpublic record, Form ADV, Sep 17, 2026
    Principal office phone
    865-984-3550reportedpublic record, Form ADV, Jun 2, 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
    Independent wealth managerderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $64.4Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026