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
P•••••• P••••••• S••••••••• I•••
Latest filing May 1, 2025
First filing on the tape Dec 2, 2011 · 21 filings
SEC status approved since Nov 22, 2006
RAUM
$9.1M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
96%
$8.8M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$9.1M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$9.1M as of May 1, 2025
Mar 23, 2012$141M then
HNW client RAUM$7.2M as of May 1, 2025
Mar 15, 2018$0 then
State-registered IARs (5.B.3)1 as of May 1, 2025
Mar 23, 20120 then
Employees (5.A)1 as of May 1, 2025
Mar 25, 20132 then
Private funds: no history
RAUM -93% over the last fiscal year-59% a year over threeIARs 1 to 1
Practice profile
derived from the filing of May 1, 2025; every figure names its basis
- RAUM per advisor
- $9.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 13derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.0MderivedHNW RAUM over HNW clients
- Average account
- $479,323derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 3.7%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
- -91%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +117%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$7.2M79%
- Individuals$1.6M17%
- Pension and profit-sharing plans$339,7213.7%
- Individual clients
- 6reported
- HNW clients
- 7reported
- Pension plan clients
- 1reported
- Charitable clients
- 0reported
- Accounts
- 19reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• Q••••••••Chartered Financial Consultant | Greensboro, Nc | Jun 23, 2025 | 44 y | 4 |
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
- J••••• M•••••• M••••• to I••••••••• F•••••••• S•••••••• I•••Jun 18, 2015 · Other
Joined, latest
- J••••• M•••••• M••••• from C••• R••••••••• P••• A••••••• S•••••••Jul 9, 2014 · Other
- M•••••• Q•••••••• from P••••••••Dec 7, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Q••••••••• M•••••• · President And Chief Compliance Officercontrolsince 01/1999 · owns 75% or more
Related persons
Schedule D 7.A
- M•••••• Q••••••••LP sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 20 to 19Feb 11, 2025 to May 1, 2025
- Advisory activities · 4 to 3Feb 11, 2025 to May 1, 2025
- Pension plan clients · 2 to 1Feb 11, 2025 to May 1, 2025
- Discretionary RAUM · $2.6M to $0Feb 11, 2025 to May 1, 2025
- HNW RAUM · $7.4M to $7.2MFeb 11, 2025 to May 1, 2025
- Individual RAUM · $1.6M to $1.6MFeb 11, 2025 to May 1, 2025
- Non-discretionary RAUM · $9.4M to $9.1MFeb 11, 2025 to May 1, 2025
- Pension RAUM · $2.9M to $339,721Feb 11, 2025 to May 1, 2025
- RAUM · $12.0M to $9.1MFeb 11, 2025 to May 1, 2025
- Accounts · 23 to 20Jan 17, 2024 to Feb 11, 2025
- HNW clients · 6 to 7Jan 17, 2024 to Feb 11, 2025
- Individual clients · 0 to 6Jan 17, 2024 to Feb 11, 2025
- Pension plan clients · 17 to 2Jan 17, 2024 to Feb 11, 2025
- Assets in custody · 0.0 to unsetJan 17, 2024 to Feb 11, 2025
- Employees · 2 to 1Jan 17, 2024 to Feb 11, 2025
- Discretionary RAUM · $75.5M to $2.6MJan 17, 2024 to Feb 11, 2025
- HNW RAUM · $6.9M to $7.4MJan 17, 2024 to Feb 11, 2025
- Individual RAUM · $0 to $1.6MJan 17, 2024 to Feb 11, 2025
- Non-discretionary RAUM · $58.3M to $9.4MJan 17, 2024 to Feb 11, 2025
- Pension RAUM · $127M to $2.9MJan 17, 2024 to Feb 11, 2025
- RAUM · $134M to $12.0MJan 17, 2024 to Feb 11, 2025
- HNW clients · 5 to 6Jan 26, 2023 to Jan 17, 2024
- Discretionary RAUM · $69.3M to $75.5MJan 26, 2023 to Jan 17, 2024
- HNW RAUM · $5.5M to $6.9MJan 26, 2023 to Jan 17, 2024
- Non-discretionary RAUM · $49.7M to $58.3MJan 26, 2023 to Jan 17, 2024
- Pension RAUM · $113M to $127MJan 26, 2023 to Jan 17, 2024
- RAUM · $119M to $134MJan 26, 2023 to Jan 17, 2024
- Accounts · 37 to 23Mar 10, 2022 to Jan 26, 2023
- HNW clients · 8 to 5Mar 10, 2022 to Jan 26, 2023
- Individual clients · 6 to 0Mar 10, 2022 to Jan 26, 2023
- Discretionary RAUM · $62.1M to $69.3MMar 10, 2022 to Jan 26, 2023
- HNW RAUM · $7.0M to $5.5MMar 10, 2022 to Jan 26, 2023
- Individual RAUM · $1.2M to $0Mar 10, 2022 to Jan 26, 2023
- Non-discretionary RAUM · $70.8M to $49.7MMar 10, 2022 to Jan 26, 2023
- Pension RAUM · $121M to $113MMar 10, 2022 to Jan 26, 2023
- RAUM · $133M to $119MMar 10, 2022 to Jan 26, 2023
- Accounts · 33 to 37Mar 3, 2021 to Mar 10, 2022
- HNW clients · unset to 8.0Mar 3, 2021 to Mar 10, 2022
- Individual clients · 12 to 6Mar 3, 2021 to Mar 10, 2022
- Discretionary RAUM · $54.1M to $62.1MMar 3, 2021 to Mar 10, 2022
Signals
2 dated events
- P•••••• P••••••• S••••••••• I••• no longer on the SEC adviser roster (last listed 2025-06-02, RAUM $9.1M)Jul 1, 2025 · Left the SEC roster · derived
- P•••••• P••••••• S••••••••• I••• reported RAUM $12.0M, down 91% from $133.8M (2024-01-17 to 2025-02-11)Feb 11, 2025 · RAUM change · derived
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
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $9.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026