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
A•• A•••• M••••••••• L•••••
Latest filing Mar 3, 2026
First filing on the tape Mar 14, 2012 · 26 filings
SEC status approved since May 18, 2004
RAUM
$4.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$2.0B
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$4.1B as of Mar 3, 2026
Mar 14, 2012$1.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 3, 2026
Mar 14, 20120 then
Employees (5.A)4 as of Mar 3, 2026
Mar 1, 20133 then
Private funds: no history
RAUM +18% over the last fiscal year+7.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 3, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- RAUM per advisor
- $2.0BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $313MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 100%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
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutionsreportedItem 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
- Insurance companies$4.1B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 13reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• L•• W•••• | Austin, Tx | May 17, 2004 | 33 y | 0 |
| J••• L•••• W•••• | Austin, Tx | May 18, 2004 | 40 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••••• B••••• L•• · Chief Compliance Officer/Managing Directorcontrolsince 03/2004 · owns 50% to 75%
- W••••• J•••• L•••• · Managing Directorcontrolsince 03/2004 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Austin, Tx · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 11 to 13Mar 10, 2025 to Mar 3, 2026
- Discretionary RAUM · $3.4B to $4.1BMar 10, 2025 to Mar 3, 2026
- RAUM · $3.4B to $4.1BMar 10, 2025 to Mar 3, 2026
- Financial planning clients · 0 to 0Feb 29, 2024 to Mar 10, 2025
- Discretionary RAUM · $3.4B to $3.4BFeb 29, 2024 to Mar 10, 2025
- RAUM · $3.4B to $3.4BFeb 29, 2024 to Mar 10, 2025
- Discretionary RAUM · $3.3B to $3.4BFeb 17, 2023 to Feb 29, 2024
- RAUM · $3.3B to $3.4BFeb 17, 2023 to Feb 29, 2024
- Advisory employees · 2 to 3Mar 14, 2022 to Feb 17, 2023
- Employees · 5 to 4Mar 14, 2022 to Feb 17, 2023
- Discretionary RAUM · $3.7B to $3.3BMar 14, 2022 to Feb 17, 2023
- RAUM · $3.7B to $3.3BMar 14, 2022 to Feb 17, 2023
- Accounts · 12 to 11Mar 8, 2021 to Mar 14, 2022
- Discretionary RAUM · $2.9B to $3.7BMar 8, 2021 to Mar 14, 2022
- RAUM · $2.9B to $3.7BMar 8, 2021 to Mar 14, 2022
- Accounts · 10 to 12Feb 19, 2020 to Mar 5, 2021
- Discretionary RAUM · $2.7B to $2.9BFeb 19, 2020 to Mar 5, 2021
- RAUM · $2.7B to $2.9BFeb 19, 2020 to Mar 5, 2021
- Discretionary RAUM · $2.3B to $2.7BMar 11, 2019 to Feb 19, 2020
- RAUM · $2.3B to $2.7BMar 11, 2019 to Feb 19, 2020
- Discretionary RAUM · $2.4B to $2.3BJan 2, 2018 to Mar 11, 2019
- RAUM · $2.4B to $2.3BJan 2, 2018 to Mar 11, 2019
- Accounts · 9 to 10Sep 22, 2017 to Jan 2, 2018
- Charity clients · unset to 0.0Sep 22, 2017 to Jan 2, 2018
- Corporate clients · unset to 0.0Sep 22, 2017 to Jan 2, 2018
- HNW clients · unset to 0.0Sep 22, 2017 to Jan 2, 2018
- Individual clients · unset to 0.0Sep 22, 2017 to Jan 2, 2018
- Pension plan clients · unset to 0.0Sep 22, 2017 to Jan 2, 2018
- Pooled vehicle clients · unset to 0.0Sep 22, 2017 to Jan 2, 2018
- Other offices · unset to 0.0Sep 22, 2017 to Jan 2, 2018
- Discretionary RAUM · $2.3B to $2.4BSep 22, 2017 to Jan 2, 2018
- RAUM · $2.3B to $2.4BSep 22, 2017 to Jan 2, 2018
- Discretionary RAUM · $2.2B to $2.3BFeb 2, 2017 to Sep 22, 2017
- RAUM · $2.2B to $2.3BFeb 2, 2017 to Sep 22, 2017
- Employees · 3 to 5Aug 29, 2016 to Feb 2, 2017
- Discretionary RAUM · $2.3B to $2.2BAug 29, 2016 to Feb 2, 2017
- RAUM · $2.3B to $2.2BAug 29, 2016 to Feb 2, 2017
- Accounts · 8 to 9Mar 11, 2016 to Aug 29, 2016
- Discretionary RAUM · $2.0B to $2.3BMar 11, 2016 to Aug 29, 2016
- RAUM · $2.0B to $2.3BMar 11, 2016 to Aug 29, 2016
Signals
1 dated events
- A•• A•••• M••••••••• L••••• reported RAUM $3.7B, up 27% from $2.9B (2021-03-08 to 2022-03-14)Mar 14, 2022 · 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
- Firm profile
- LINKEDIN.COM/COMPANY/4848890reportedpublic record, Form ADV, Sep 19, 2026
- Website
- AQSLLC.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (512) 314-0720reportedpublic record, Form ADV, Mar 3, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $2.0Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026