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

Kay Quinn Financial, LLC

Former SEC-registered adviserNashville, TennesseeCRD 123983SEC 801-80953IAPD

Latest filing Jan 26, 2024

First filing on the tape Dec 20, 2011 · 33 filings

RAUM

$123M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$123M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

33 filings and snapshots on the tape

RAUM$123M as of Jan 25, 2024

May 1, 2012$60.0M then

HNW client RAUM$87.7M as of Jan 25, 2024

Mar 29, 2018$90.5M then

State-registered IARs (5.B.3)1 as of Jan 25, 2024

May 1, 20120 then

Employees (5.A)1 as of Jan 25, 2024

Mar 1, 20164 then

Private funds: no history

RAUM +23% over the last fiscal year-22% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Jan 26, 2024; every figure names its basis

RAUM per advisor: $123MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 144derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.1MderivedHNW RAUM over HNW clients
Average account: $196,425derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +23%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -1.4%derived
Compensation: percentage of assets, hourlyreportedItem 5.E
Advisory activities: financial planning, portfolio management for individualsreportedItem 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

High-net-worth individuals$87.7M71%
Individuals$35.3M29%

Individual clients: 102reported
HNW clients: 42reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 626reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, hourlyreported
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

George Andrew Quinn to Aj Advisors
Nov 18, 2022 · RIA to a newly registered adviser
John Province Stauffer to Aj Advisors
Nov 18, 2022 · RIA to RIA
Keith Casiano to Empower Advisory Group, LLC
May 4, 2022 · RIA to affiliated broker-dealer or bank

Joined, latest

Keith Casiano from Fidelity Personal And Workplace Advisors
Aug 12, 2021 · Affiliated broker-dealer or bank to independent RIA
George Andrew Quinn from Morgan Stanley
Jan 7, 2011 · Other
John Province Stauffer from Silver Oak Securities, Inc.
Mar 17, 2009 · Other

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 left for Aj Advisors
Nov 18, 2022 · Nashville, Tn

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

Van Echop Catherine Quinn · Member, Chief Compliance Officercontrol
since 04/2002 · owns 75% or more

Related persons

Schedule D 7.A

Catherine V. Quinn
insurancey

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 615 to 626
Oct 27, 2023 to Jan 25, 2024
Advisory activities · 3 to 2
Oct 27, 2023 to Jan 25, 2024
HNW clients · 28 to 42
Oct 27, 2023 to Jan 25, 2024
Individual clients · 118 to 102
Oct 27, 2023 to Jan 25, 2024
Assets in custody · 1483355.0 to unset
Oct 27, 2023 to Jan 25, 2024
Custody of client assets · true to false
Oct 27, 2023 to Jan 25, 2024
Employees · 2 to 1
Oct 27, 2023 to Jan 25, 2024
Discretionary RAUM · $100M to $123M
Oct 27, 2023 to Jan 25, 2024
HNW RAUM · $62.2M to $87.7M
Oct 27, 2023 to Jan 25, 2024
Individual RAUM · $38.1M to $35.3M
Oct 27, 2023 to Jan 25, 2024
RAUM · $100M to $123M
Oct 27, 2023 to Jan 25, 2024
Accounts · 1,602 to 615
Nov 18, 2022 to Mar 13, 2023
HNW clients · 103 to 28
Nov 18, 2022 to Mar 13, 2023
Individual clients · 355 to 118
Nov 18, 2022 to Mar 13, 2023
Pension plan clients · 2.0 to unset
Nov 18, 2022 to Mar 13, 2023
Assets in custody · $107M to $1.5M
Nov 18, 2022 to Mar 13, 2023
Financial planning clients · 11-25 to 1-10
Nov 18, 2022 to Mar 13, 2023
Discretionary RAUM · $323M to $100M
Nov 18, 2022 to Mar 13, 2023
HNW RAUM · $226M to $62.2M
Nov 18, 2022 to Mar 13, 2023
Individual RAUM · $94.7M to $38.1M
Nov 18, 2022 to Mar 13, 2023
Pension RAUM · 1524428.0 to unset
Nov 18, 2022 to Mar 13, 2023
RAUM · $323M to $100M
Nov 18, 2022 to Mar 13, 2023
Business name · QUINN STAUFFER FINANCIAL, LLC to KAY QUINN FINANCIAL, LLC
Aug 1, 2022 to Aug 2, 2022
Legal name · QUINN STAUFFER FINANCIAL, LLC to KAY QUINN FINANCIAL, LLC
Aug 1, 2022 to Aug 2, 2022
Advisory employees · 3 to 1
Mar 30, 2022 to Aug 1, 2022
Employees · 5 to 2
Mar 30, 2022 to Aug 1, 2022
State-registered IARs · 4 to 1
Mar 30, 2022 to Aug 1, 2022
Accounts · 1,528 to 1,602
Dec 15, 2021 to Mar 29, 2022
HNW clients · 75 to 103
Dec 15, 2021 to Mar 29, 2022
Individual clients · 359 to 355
Dec 15, 2021 to Mar 29, 2022
Pension plan clients · unset to 2.0
Dec 15, 2021 to Mar 29, 2022
Assets in custody · $63.9M to $107M
Dec 15, 2021 to Mar 29, 2022
Employees · 4 to 5
Dec 15, 2021 to Mar 29, 2022
Financial planning clients · 101-250 to 11-25
Dec 15, 2021 to Mar 29, 2022
State-registered IARs · 3 to 4
Dec 15, 2021 to Mar 29, 2022
Discretionary RAUM · $259M to $323M
Dec 15, 2021 to Mar 29, 2022
HNW RAUM · $177M to $226M
Dec 15, 2021 to Mar 29, 2022
Individual RAUM · $81.2M to $94.7M
Dec 15, 2021 to Mar 29, 2022
Pension RAUM · $1.1M to $1.5M
Dec 15, 2021 to Mar 29, 2022
RAUM · $259M to $323M
Dec 15, 2021 to Mar 29, 2022

Signals

8 dated events

Kay Quinn Financial, Llc reported RAUM $100.3M, down 69% from $322.5M (2022-11-18 to 2023-03-13)
Mar 13, 2023 · RAUM change · derived
John Province Stauffer left Kay Quinn Financial, Llc for Aj Advisors (registered 2022-10-05)
Nov 18, 2022 · Advisor changed firm · fact
George Andrew Quinn left Kay Quinn Financial, Llc for Aj Advisors (registered 2022-07-14)
Nov 18, 2022 · Advisor changed firm · fact
2 advisors left Kay Quinn Financial, LLC (Nashville, TN) for AJ Advisors on the same day
Nov 18, 2022 · Team lift-out · derived
Province John Stauffer (Chief Operating Officer And Member) no longer on Schedule A of Kay Quinn Financial, Llc (listed 2022-03-30, absent 2022-08-01)
Aug 1, 2022 · Control person left · inference
Andrew George Quinn (Chief Compliance Officer And Member) no longer on Schedule A of Kay Quinn Financial, Llc (listed 2022-03-30, absent 2022-08-01)
Aug 1, 2022 · Control person left · inference
Keith Casiano left Kay Quinn Financial, Llc for Empower Advisory Group, Llc (registered 2024-04-09)
May 4, 2022 · Advisor changed firm · fact
Quinn Financial Partners, Llc filed its initial SEC registration (Form ADV)
Feb 2, 2015 · 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.

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