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
Simon Quick Advisors, LLC
Latest filing Jul 28, 2026
First filing on the tape Mar 30, 2012 · 52 filings
SEC status approved since Jul 16, 2004
RAUM
$9.0B
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
85%
$7.7B individuals and HNW
Advisors
40
registered through the firm on IAPD
RAUM per advisor
$225M
derived; firm RAUM over IAPD count
Employees
97
77 advisory (5.B.1)
Offices
7
beyond the principal office
Private funds
5
reported on Schedule D
History
52 filings and snapshots on the tape
RAUM$9.0B as of Jul 28, 2026
Mar 30, 2012$2.8B then
HNW client RAUM$7.6B as of Jul 28, 2026
Mar 29, 2018$2.1B then
State-registered IARs (5.B.3)38 as of Jul 28, 2026
Mar 28, 201310 then
Employees (5.A)97 as of Jul 28, 2026
Mar 28, 201320 then
Private funds5 as of Jul 28, 2026
Mar 30, 20124 then
RAUM +34% over the last fiscal year+21% a year over threeIARs 29 to 38offices 5 to 7
Practice profile
derived from the filing of Jul 28, 2026; every figure names its basis
Archetypes, each a printed rule
- RIA with heavy alternatives · a wealth manager whose private fund gross assets are at least 25 percent of RAUM, or five or more private funds
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $225MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 25derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $11.3MderivedHNW RAUM over HNW clients
- Average account
- $2.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 7.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.4derivedItem 5.A over advisors
- Advisors per office
- 5.0derived8 offices incl. principal (1.F.5)
- RAUM growth, one year
- +34%derivedbetween the last two annual amendments
- Advisor growth, one year
- +31%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +31%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $1.8B, 520 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Firms absorbed, 24 months
- 1derivedhalf or more of a firm's advisors moved here within 14 days
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$7.6B84%
- Charitable organizations$501M5.6%
- Pooled investment vehicles$418M4.6%
- Other investment advisers$191M2.1%
- Individuals$109M1.2%
- Corporations and businesses$97.1M1.1%
- Insurance companies$81.9M0.9%
- Pension and profit-sharing plans$57.3M0.6%
- Individual clients
- 328reported
- HNW clients
- 666reported
- Pension plan clients
- 6reported
- Charitable clients
- 28reported
- Accounts
- 3,057reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.8B for 520 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.85 fund_share=0.07 institutional_share=0.07 related_bd=false related_bank=true bd_reps=0.0 bank_owner=falsederived
Advisors registered through the firm
40 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Larissa Anne MehlfelderCertified Financial Planner | Morristown, Nj | Nov 26, 2012 | 17 y | 0 |
| William Bernard LalorCertified Financial Planner | Morristown, Nj | Nov 26, 2012 | 15 y | 0 |
| Christopher Brian MooreCertified Financial Planner | Morristown, Nj | Nov 26, 2012 | 21 y | 1 |
| Daniel Brian WeitzCertified Financial Planner | Morristown, Nj | Apr 5, 2013 | 18 y | 1 |
| Leslie Charles Quick III | Morristown, Nj | Apr 8, 2013 | 44 y | 1 |
| Joseph Andrew Belfatto | Morristown, Nj | Apr 8, 2013 | 41 y | 1 |
| Steven Henry Pisano | Morristown, Nj | Aug 30, 2016 | 17 y | 3 |
| John Peter Simon | Morristown, Nj | Oct 19, 2017 | 31 y | 0 |
| Thomas Patrick MorrCertified Financial Planner | Morristown, Nj | Jan 23, 2018 | 14 y | 1 |
| Jack R MahoneyCertified Financial Planner | Morristown, Nj | Jun 26, 2018 | 13 y | 1 |
| Lisa Ann ManzolilloCertified Financial Planner | Morristown, Nj | Aug 2, 2018 | 20 y | 1 |
| Kristin Mccamish BellChartered Financial Analyst | Chattanooga, Tn | Nov 6, 2018 | 27 y | 0 |
| Brannon Jeffrey FisherCertified Financial Planner | Denver, Co | Apr 2, 2019 | 19 y | 1 |
| James Vincent McgurrenCertified Financial Planner | New York, Ny | Oct 3, 2019 | 22 y | 2 |
| Anders Paul VelischekCertified Financial Planner | Morristown, Nj | Apr 28, 2020 | 10 y | 0 |
| Connor Nelson DonovanCertified Financial Planner | Morristown, Nj | Feb 16, 2021 | 13 y | 0 |
| Jenna Mary MorrChartered Financial Analyst | New York, Ny | Apr 5, 2021 | 13 y | 0 |
| David Van Houten III Hedley | Morristown, Nj | Jun 11, 2021 | 34 y | 0 |
| Garrett M WellsCertified Financial Planner | Morristown, Nj | Oct 1, 2021 | 13 y | 0 |
| Erin Leigh SlocumCertified Financial Planner | New York, Ny | Apr 26, 2022 | 18 y | 0 |
| Arthur Neal Langhaus | New York, Ny | May 2, 2022 | 37 y | 1 |
| Thomas C Trynin | Morristown, Nj | Jun 15, 2022 | 14 y | 1 |
| William Fleming Conger | Morristown, Nj | Jun 16, 2022 | 28 y | 2 |
| Anthony J Santoro | Morristown, Nj | Aug 31, 2022 | 10 y | 2 |
| Maritza Chow Young | New York, Ny | Mar 20, 2023 | 24 y | 1 |
| Brian Douglas HipwellCertified Financial Planner | Morristown, Nj | Apr 11, 2023 | 12 y | 1 |
| Mcclain Hunt Bishop | Morristown, Nj | Feb 25, 2025 | 10 y | 1 |
| Shei UngerCertified Financial Planner | Dallas, Tx | Jun 11, 2025 | 25 y | 2 |
| Andrew Fraser FergusonCertified Financial Planner, Chartered Financial Consultant | Morristown, Nj | Jun 12, 2025 | 43 y | 2 |
| Patricia Ann YeagerCertified Financial Planner | Morristown, Nj | Jun 20, 2025 | 30 y | 3 |
| Ryan Patrick MoffettCertified Financial Planner | Dallas, Tx | Jun 23, 2025 | 22 y | 0 |
| Nathan Wesley OhlingerCertified Financial Planner | Coppell, Tx | Jun 23, 2025 | 15 y | 1 |
| Jordan MalyCertified Financial Planner | Denver, Co | Sep 17, 2025 | 13 y | 0 |
| Sydney M McgrewCertified Financial Planner | New York, Ny | Oct 8, 2025 | 11 y | 0 |
| Adam Jordan TalmadgeCertified Financial Planner | Morristown, Nj | Nov 5, 2025 | 12 y | 0 |
| Christopher S BromleyCertified Financial Planner | Morristown, Nj | Nov 6, 2025 | 14 y | 0 |
| Jacob C DempseyCertified Financial Planner | Morristown, Nj | Nov 10, 2025 | 12 y | 0 |
| Christos John Thomas | Morristown, Nj | Jan 1, 2026 | 21 y | 2 |
| Christian YossCertified Financial Planner | Morristown, Nj | Mar 11, 2026 | 26 y | 5 |
| Patrick J MurphyCertified Financial Planner | Morristown, Nj | Mar 18, 2026 | 21 y | 2 |
Advisor movement
3 left, 3 joined in 12 months
net 0 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 7.5% of current headcount3 left over 36 months
Left, latest
- Ryan Casey to Park Avenue Securities LLCAug 24, 2026 · RIA to affiliated broker-dealer or bank
- Deanna Jean Miller to Osaic Wealth, Inc.May 18, 2026 · RIA to affiliated broker-dealer or bank
- Kyle James Ferrare to Schwab Wealth Advisory, Inc.Feb 9, 2026 · Other
- Lorraine Renee Salvo to Palisade Capital Management, LPSep 19, 2019 · RIA to RIA
- Robert K Ward to Pnc Wealth ManagementApr 5, 2013 · Other
Joined, latest
- Patrick J Murphy from Merrill Lynch, Pierce, Fenner & Smith IncorporatedMar 18, 2026 · Wirehouse to independent RIA
- Christian Yoss from J.P. Morgan Securities LLCMar 11, 2026 · Wirehouse to independent RIA
- Christos John Thomas from Lehman Brothers Inc.Jan 1, 2026 · Other
- Nathan Wesley Ohlinger from The Watchman Group, Inc.Jun 23, 2025 · Other
- Patricia Ann Yeager from Proquility Private Wealth Partners, LLCJun 20, 2025 · RIA to RIA
- Deanna Jean Miller from Proquility Private Wealth Partners, LLCJun 13, 2025 · RIA to RIA
- Andrew Fraser Ferguson from Proquility Private Wealth Partners, LLCJun 12, 2025 · RIA to RIA
- Shei Unger from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJun 11, 2025 · Wirehouse to independent RIA
- Mcclain Hunt Bishop from Merrill Lynch, Pierce, Fenner & Smith IncorporatedFeb 25, 2025 · Wirehouse to independent RIA
- Ryan Casey from Park Avenue Securities LLCJan 15, 2025 · Affiliated broker-dealer or bank to independent RIA
- Brian Douglas Hipwell from Thrive Wealth Management, LLCApr 11, 2023 · RIA to RIA
- Maritza Chow Young from Svb WealthMar 20, 2023 · RIA to RIA
- Anthony J Santoro from Arista Wealth Advisors, LtdAug 31, 2022 · RIA to RIA
- William Fleming Conger from Red Hook ManagementJun 16, 2022 · RIA to RIA
- Thomas C Trynin from Red Hook ManagementJun 15, 2022 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from Proquility Private Wealth Partners, LLCJun 30, 2025 · Las Vegas, Nv · Firm absorbed
- 2 joined from Red Hook ManagementJun 10, 2022 · Morristown, Nj
Private funds
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Simon Quick Chapin Master Fund Qp, LLC | Other Private Fund | $176M | 140 | Dec 13, 2019 |
| Simon Quick Global Equities Fund Qp, LP | Other Private Fund | $161M | 106 | Mar 31, 2014 |
| Simon Quick Chapin Master Fund, LLC | Other Private Fund | $44.9M | 60 | Mar 30, 2012 |
| Simon Quick Global Equities Fund, LP | Other Private Fund | $39.4M | 44 | Mar 30, 2012 |
| Mt. Kemble Value Equity Fund I, LLCno longer reported | Other Private Fund | $35.7M | 28 | Mar 30, 2012 |
| Mq Global Macro Master Fund LLCno longer reported | Hedge Fund | $183,880 | 0 | Mar 30, 2012 |
| Simon Quick Private Equity Fund I, LP | $0 | 0 | Jul 28, 2026 |
Owners and control persons
Schedule A and B, latest filing
- Patrick Thomas Morr · Managing Partnercontrolsince 01/2024 · owns less than 5%
- Charles Leslie Quick III · Managing Partnercontrolsince 06/2004 · owns 10% to 25%
- Nicholas Thomas Sorrentino · Chief Financial Officercontrolsince 05/2025 · owns less than 5%
- Wayne Yi · Partner, Chief Investment Officercontrolsince 01/2023 · owns less than 5%
- Frederick James Manning · Trusteecontrolsince 10/1993 · owns F of Leslie C. Quick, III Descendants Trust Under Agreement Dated March 11, 1993
- Peter John Simon · Ownercontrolsince 01/1988 · owns 50% to 75% of William E Simon & Sons, LLC
- Edward William Simon · Ownercontrolsince 01/1988 · owns 50% to 75% of William E Simon & Sons, LLC
- Andrew Joseph Belfatto · Managing Partnersince 03/2007 · owns 10% to 25%
- David Mark Delotto · Partner Officersince 01/2013 · owns 10% to 25%
- Brian Christopher Moore · Managing Partnersince 01/2013 · owns less than 5%
- Thomas Michael Oliveri · Chief Financial Officersince 07/2017 · owns less than 5%
- Henry Steven Pisano · Chief Compliance Officersince 01/2020 · owns less than 5%
Entity owners
- Leslie C. Quick, III Descendants Trust Under Agreement Dated March 11, 1993 · Ownerindirect · owns 25% to 50% of Qiii Family Enterprises LLC
- Qiii Family Enterprises LLC · Shareholderdirect · owns 10% to 25%
- William E Simon & Sons, LLC · Shareholderdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- Simon Quick Chapin Management Qp, LLCbankpooled vehicle sponsory
- Simon Quick Chapin Management, LLCbankpooled vehicle sponsory
- Simon Quick Global Equities Management Qp, LLCpooled vehicle sponsory
- Simon Quick Global Equities Management, LLCpooled vehicle sponsory
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Morristown, Nj · principal | 36 | 7 | 1 | ||
| New York, Ny | 11 | 2 | 0 | ||
| Dallas, Tx | 3 | 1 | 0 | ||
| Denver, Co | 2 | 1 | 1 | ||
| Las Vegas, Nv | 2 | 0 | 0 | ||
| Elkhorn, Wi | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- New York, NY11 employees
- Denver, CO2 employees
- Garden City, NY2 employees
- Palm Beach, FL2 employees
- Chattanooga, TN1 employees
ADV anomalies
8 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jul 28, 2026SIMON, JOHN, PETER (OWNER) left Schedule A between the filings of 2024-03-27 and 2026-07-28peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Jul 28, 2026Morr, Thomas, Patrick (MANAGING PARTNER) left Schedule A between the filings of 2024-03-27 and 2026-07-28peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Jul 28, 2026MANNING, JAMES, FREDERICK (TRUSTEE) left Schedule A between the filings of 2024-03-27 and 2026-07-28peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Jul 28, 2026SORRENTINO, THOMAS, NICHOLAS (CHIEF FINANCIAL OFFICER) appeared on Schedule A between the filings of 2024-03-27 and 2026-07-28peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Jul 28, 2026QUICK III, LESLIE, CHARLES (MANAGING PARTNER) left Schedule A between the filings of 2024-03-27 and 2026-07-28peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Jul 28, 2026SIMON, WILLIAM, EDWARD (OWNER) left Schedule A between the filings of 2024-03-27 and 2026-07-28peers: independent wealth managers, $5B to $20B (289)
- growth on all axesCombination · filing Mar 18, 2026RAUM, offices and advisors all grew 25 percent or more in one year: a platform in expansion or an acquisition. RAUM $6,716,999,364 to $9,006,812,528, advisors 29 to 38, private clients 758 to 994, offices 5 to 7 (2025-04-30 to 2026-03-18)peers: independent wealth managers, $5B to $20B (289)
- acquired advisors left within a yearCombination · filing Jun 30, 20251 of the 3 advisors who moved from PROQUILITY PRIVATE WEALTH PARTNERS, LLC to SIMON QUICK ADVISORS, LLC on 2025-06-30 had left the acquirer within 365 dayspeers: independent wealth managers, $5B to $20B (289)
What changed
consecutive filings, newest first
- Accounts · 3,710 to 3,057Aug 18, 2025 to Mar 18, 2026
- Advisory employees · 57 to 77Aug 18, 2025 to Mar 18, 2026
- Charity clients · 27 to 28Aug 18, 2025 to Mar 18, 2026
- Corporate clients · 2 to 3Aug 18, 2025 to Mar 18, 2026
- HNW clients · 592 to 666Aug 18, 2025 to Mar 18, 2026
- Individual clients · 301 to 328Aug 18, 2025 to Mar 18, 2026
- Employees · 90 to 97Aug 18, 2025 to Mar 18, 2026
- State-registered IARs · 32 to 38Aug 18, 2025 to Mar 18, 2026
- Private funds · 4 to 5Aug 18, 2025 to Mar 18, 2026
- Discretionary RAUM · $6.5B to $8.4BAug 18, 2025 to Mar 18, 2026
- HNW RAUM · $5.7B to $7.6BAug 18, 2025 to Mar 18, 2026
- Individual RAUM · $111M to $109MAug 18, 2025 to Mar 18, 2026
- Non-discretionary RAUM · $557M to $616MAug 18, 2025 to Mar 18, 2026
- Pension RAUM · $47.5M to $57.3MAug 18, 2025 to Mar 18, 2026
- Pooled vehicle RAUM · $418M to $418MAug 18, 2025 to Mar 18, 2026
- RAUM · $7.1B to $9.0BAug 18, 2025 to Mar 18, 2026
- Accounts · 2,945 to 3,710May 19, 2025 to Jun 13, 2025
- Advisory employees · 55 to 57May 19, 2025 to Jun 13, 2025
- Charity clients · 26 to 27May 19, 2025 to Jun 13, 2025
- HNW clients · 532 to 592May 19, 2025 to Jun 13, 2025
- Individual clients · 226 to 301May 19, 2025 to Jun 13, 2025
- Assets in custody · $1.6B to $1.8BMay 19, 2025 to Jun 13, 2025
- Employees · 84 to 90May 19, 2025 to Jun 13, 2025
- Financial planning clients · 51-100 to 51-100May 19, 2025 to Jun 13, 2025
- State-registered IARs · 29 to 32May 19, 2025 to Jun 13, 2025
- Other offices · 5 to 7May 19, 2025 to Jun 13, 2025
- Discretionary RAUM · $6.2B to $6.5BMay 19, 2025 to Jun 13, 2025
- HNW RAUM · $5.5B to $5.7BMay 19, 2025 to Jun 13, 2025
- Individual RAUM · $88.4M to $111MMay 19, 2025 to Jun 13, 2025
- RAUM · $6.7B to $7.1BMay 19, 2025 to Jun 13, 2025
- Accounts · 2,900 to 2,945Mar 27, 2024 to Apr 30, 2025
- Advisory employees · 31 to 55Mar 27, 2024 to Apr 30, 2025
- Charity clients · 24 to 26Mar 27, 2024 to Apr 30, 2025
- HNW clients · 473 to 532Mar 27, 2024 to Apr 30, 2025
- Individual clients · 225 to 226Mar 27, 2024 to Apr 30, 2025
- Pension plan clients · 5 to 6Mar 27, 2024 to Apr 30, 2025
- Assets in custody · $1.2B to $1.6BMar 27, 2024 to Apr 30, 2025
- Employees · 83 to 84Mar 27, 2024 to Apr 30, 2025
- Discretionary RAUM · $5.3B to $6.2BMar 27, 2024 to Apr 30, 2025
- HNW RAUM · $4.6B to $5.5BMar 27, 2024 to Apr 30, 2025
Signals
10 dated events
- Ryan Casey left Simon Quick Advisors, Llc for Park Avenue Securities Llc (registered 2026-08-26)Aug 24, 2026 · Advisor changed firm · fact
- Deanna Jean Miller left Simon Quick Advisors, Llc for Osaic Wealth, Inc. (registered 2026-05-15)May 18, 2026 · Advisor changed firm · fact
- Simon Quick Advisors, Llc reported RAUM $9.0B, up 27% from $7.1B (2025-08-18 to 2026-03-18)Mar 18, 2026 · RAUM change · derived
- Kyle James Ferrare left Simon Quick Advisors, Llc for Schwab Wealth Advisory, Inc. (registered 2026-07-21)Feb 9, 2026 · Advisor changed firm · fact
- Proquility Private Wealth Partners, LLC's advisors moved to Simon Quick Advisors, LLC (Las Vegas, NV): 3 of 3 registered, on the same dayJun 30, 2025 · Firm absorbed (people side) · derived
- Patrick Thomas Morr (Managing Partner) appeared on Schedule A of Simon Quick Advisors, LlcMar 27, 2024 · Control person joined · fact
- 2 advisors left Red Hook Management (Morristown, NJ) for Simon Quick Advisors, LLC on the same dayJun 10, 2022 · Team lift-out · derived
- Frederick James Manning (Trustee) appeared on Schedule A of Simon Quick Advisors, LlcApr 15, 2022 · Control person joined · fact
- Richard Stewart Massey (Founding Partner) no longer on Schedule A of Simon Quick Advisors, Llc (listed 2019-01-04, absent 2019-01-11)Jan 11, 2019 · Control person left · inference
- Simon Quick Advisors, Llc reported RAUM $3.0B, up 25% from $2.4B (2017-09-27 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- Simon Quick Advisors, LLC · Independent Sponsorsshared crd · capital_provider
- Simon Quick Advisors, LLC · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business phone
- 423-541-3092reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 973-525-1000reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/simonquickadvisorsreportedpublic record, Form ADV, Sep 17, 2026
- Website
- simonquickadvisors.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 973-525-1000reportedpublic record, Form ADV, Jul 28, 2026
- Team page
- simonquickadvisors.com/teamreportedpublished by the firm, firm site, Sep 15, 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
- $225Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026