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

Questar Asset Management, Inc.

Former SEC-registered adviserMinneapolis, MinnesotaCRD 133358SEC 801-63747IAPD
Latest filing May 7, 2019
First filing on the tape Mar 30, 2012 · 55 filings
RAUM
$1.1B
reported, Item 5.F
Discretionary
17%
of RAUM
Private clients
97%
$1.0B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
431
431 advisory (5.B.1)
Offices
283
beyond the principal office
Private funds
0
reported on Schedule D
History
55 filings and snapshots on the tape
RAUM$1.1B as of Mar 4, 2019
Mar 30, 2012$272M then
HNW client RAUM$33.2M as of Mar 4, 2019
Mar 20, 2018$260M then
State-registered IARs (5.B.3)431 as of Mar 4, 2019
Mar 30, 20120 then
Employees (5.A)431 as of Mar 4, 2019
Mar 28, 2013380 then
Private funds: no history
RAUM +7.0% over the last fiscal year+7.9% a year over threeIARs 501 to 431offices 350 to 283
Practice profile
derived from the filing of May 7, 2019; every figure names its basis
RAUM per advisor
$2.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
10derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$6.6MderivedHNW RAUM over HNW clients
Average account
$163,883derivedRAUM over accounts (5.F.2.f)
Discretionary
17%derivedof RAUM
Institutional
2.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.5derived284 offices incl. principal (1.F.5)
RAUM growth, one year
+7.0%derivedbetween the last two annual amendments
Advisor growth, one year
-14%derivedItem 5.B.3 between annual amendments
Client growth, one year
+15%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Wrap fee program
$1.0BreportedItem 5.I
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$986M93%
  • High-net-worth individuals$33.2M3.1%
  • Pension and profit-sharing plans$15.9M1.5%
  • Corporations and businesses$12.7M1.2%
  • Charitable organizations$6.8M0.6%
Individual clients
4,450reported
HNW clients
5reported
Pension plan clients
28reported
Charitable clients
14reported
Accounts
6,432reported
Financial planning clients
251-500reported
Wrap fee programs
$30.7M sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • J Barbara Braun · Chief Technology And Executive Projects Officercontrol
    since 07/2017 · owns less than 5%
  • Cawood Melissa Brooks · Chief Financial Officercontrol
    since 04/2019 · owns less than 5%
  • Lea Sharon Du Mond · President, Chief Executive Officer, Directorcontrol
    since 07/2015 · owns less than 5%
  • Edward William Gaumond · Directorcontrol
    since 01/2016 · owns less than 5%
  • Marie Kristine Lord-Krahn · Chief Legal Officer, Secretarycontrol
    since 10/2005 · owns less than 5%
  • Kay Jessica Sand Peterson · Chief Operating And Supervision Officercontrol
    since 02/2019 · owns less than 5%
  • Alane Kristine Starkman · Chief Compliance Officercontrol
    since 09/2017 · owns less than 5%
  • Jon Eric Thomes · Chairmancontrol
    since 04/2019 · owns less than 5%
Entity owners
  • Yorktown Financial Companies, Inc. Indiana · Shareholder
    direct · owns 75% or more
  • Allianz Europe B.V. · Shareholder
    indirect · owns 75% or more of Allianz Of America, Inc.
  • Allianz Life Insurance Company Of North America · Shareholder
    indirect · owns 75% or more of Yorktown Financial Companies, Inc. Indiana
  • Allianz Of America Inc · Shareholder
    indirect · owns 75% or more of Allianz Life Insurance Company Of North America
  • Allianz Societas Europaea · Shareholder
    indirect · owns 75% or more of Allianz Europe B.V.
Related persons
Schedule D 7.A
Advisers that list Questar Asset Management, Inc. as a related person
Offices
Schedule D 1.F, the 25 largest
  • Charlotte, NC14 employees
  • Minnetonka, MN10 employees
  • Roseville, CA10 employees
  • Cameron Park, CA6 employees
  • Ann Arbor, MI5 employees
  • Bloomington, MN5 employees
  • Mount Laurel, NJ5 employees
  • Brighton, MI4 employees
  • Atlanta, GA4 employees
  • Palm Beach Gardens, FL4 employees
  • Cherry Hill, NJ4 employees
  • Brookfield, WI4 employees
  • Rochester Hills, MI3 employees
  • Rockledge, FL3 employees
  • Lincoln, NE3 employees
  • Lake Charles, LA3 employees
  • Biloxi, MS3 employees
  • St. Louis, MO3 employees
  • Greeley, CO3 employees
  • Lincoln, NE3 employees
  • Huntington Beach, CA3 employees
  • Dover, NH3 employees
  • Torrance, CA2 employees
  • North Attleboro, MA2 employees
  • Roanoke, TX2 employees
What changed
consecutive filings, newest first
  • Accounts · 5,107 to 6,432
    Feb 4, 2019 to Mar 4, 2019
  • Advisory employees · 501 to 431
    Feb 4, 2019 to Mar 4, 2019
  • BD registered reps · 486 to 419
    Feb 4, 2019 to Mar 4, 2019
  • Charity clients · 9 to 14
    Feb 4, 2019 to Mar 4, 2019
  • Corporate clients · 20 to 22
    Feb 4, 2019 to Mar 4, 2019
  • HNW clients · 434 to 5
    Feb 4, 2019 to Mar 4, 2019
  • Individual clients · 3,438 to 4,450
    Feb 4, 2019 to Mar 4, 2019
  • Pension plan clients · 24 to 28
    Feb 4, 2019 to Mar 4, 2019
  • Employees · 501 to 431
    Feb 4, 2019 to Mar 4, 2019
  • State-registered IARs · 501 to 431
    Feb 4, 2019 to Mar 4, 2019
  • Other offices · 350 to 283
    Feb 4, 2019 to Mar 4, 2019
  • Discretionary RAUM · $116M to $183M
    Feb 4, 2019 to Mar 4, 2019
  • HNW RAUM · $260M to $33.2M
    Feb 4, 2019 to Mar 4, 2019
  • Individual RAUM · $694M to $986M
    Feb 4, 2019 to Mar 4, 2019
  • Non-discretionary RAUM · $870M to $872M
    Feb 4, 2019 to Mar 4, 2019
  • Pension RAUM · $16.7M to $15.9M
    Feb 4, 2019 to Mar 4, 2019
  • RAUM · $985M to $1.1B
    Feb 4, 2019 to Mar 4, 2019
  • Wrap assets (sponsor) · $29.8M to $30.7M
    Feb 4, 2019 to Mar 4, 2019
  • Accounts · 5,174 to 5,107
    Feb 5, 2018 to Mar 20, 2018
  • Advisory employees · 483 to 501
    Feb 5, 2018 to Mar 20, 2018
  • BD registered reps · 476 to 486
    Feb 5, 2018 to Mar 20, 2018
  • Charity clients · 0 to 9
    Feb 5, 2018 to Mar 20, 2018
  • Corporate clients · 0 to 20
    Feb 5, 2018 to Mar 20, 2018
  • HNW clients · 0 to 434
    Feb 5, 2018 to Mar 20, 2018
  • Individual clients · 3,752 to 3,438
    Feb 5, 2018 to Mar 20, 2018
  • Pension plan clients · 0 to 24
    Feb 5, 2018 to Mar 20, 2018
  • Employees · 483 to 501
    Feb 5, 2018 to Mar 20, 2018
  • Financial planning clients · 101-250 to 251-500
    Feb 5, 2018 to Mar 20, 2018
  • State-registered IARs · 483 to 501
    Feb 5, 2018 to Mar 20, 2018
  • Other offices · 356 to 350
    Feb 5, 2018 to Mar 20, 2018
  • Discretionary RAUM · $143M to $116M
    Feb 5, 2018 to Mar 20, 2018
  • HNW RAUM · $0 to $260M
    Feb 5, 2018 to Mar 20, 2018
  • Individual RAUM · $867M to $694M
    Feb 5, 2018 to Mar 20, 2018
  • Non-discretionary RAUM · $723M to $870M
    Feb 5, 2018 to Mar 20, 2018
  • Pension RAUM · $0 to $16.7M
    Feb 5, 2018 to Mar 20, 2018
  • RAUM · $867M to $985M
    Feb 5, 2018 to Mar 20, 2018
  • Wrap assets (sponsor) · $87.8M to $29.8M
    Feb 5, 2018 to Mar 20, 2018
  • Charity clients · unset to 0.0
    Sep 28, 2017 to Dec 6, 2017
  • Corporate clients · unset to 0.0
    Sep 28, 2017 to Dec 6, 2017
  • HNW clients · unset to 0.0
    Sep 28, 2017 to Dec 6, 2017
Signals
10 dated events
  • Jon Eric Thomes (Chairman) appeared on Schedule A of Questar Asset Management, Inc.
    Apr 30, 2019 · Control person joined · fact
  • Cawood Melissa Brooks (Chief Financial Officer) appeared on Schedule A of Questar Asset Management, Inc.
    Apr 30, 2019 · Control person joined · fact
  • Patrick Thomas Burns (Chairman) no longer on Schedule A of Questar Asset Management, Inc. (listed 2019-03-22, absent 2019-04-30)
    Apr 30, 2019 · Control person left · inference
  • Catherine Amy Halverson (Chief Financial Officer) no longer on Schedule A of Questar Asset Management, Inc. (listed 2019-03-22, absent 2019-04-30)
    Apr 30, 2019 · Control person left · inference
  • Lyn Darcy Matz (Chief Field Development And Marketing Officer) no longer on Schedule A of Questar Asset Management, Inc. (listed 2019-03-22, absent 2019-04-30)
    Apr 30, 2019 · Control person left · inference
  • Questar Asset Management, Inc. reported 283 offices beyond its principal office, down from 350 (2019-02-04 to 2019-03-04)
    Mar 4, 2019 · Office count change · derived
  • Christopher Matthew Dian (Chief Operating And Supervision Officer) no longer on Schedule A of Questar Asset Management, Inc. (listed 2019-01-30, absent 2019-02-04)
    Feb 4, 2019 · Control person left · inference
  • Kay Jessica Sand Peterson (Chief Operating And Supervision Officer) appeared on Schedule A of Questar Asset Management, Inc.
    Feb 4, 2019 · Control person joined · fact
  • Questar Asset Management, Inc. reported 350 offices beyond its principal office, down from 356 (2018-02-05 to 2018-03-20)
    Mar 20, 2018 · Office count change · derived
  • Questar Asset Management, Inc. reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Jan 16, 2013 · Succession (Item 4) · 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