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
Q• A•••• M••••••••• C•••••••••
Latest filing Mar 29, 2026
First filing on the tape Apr 9, 2012 · 67 filings
SEC status approved since Jan 2, 2013
RAUM
$795M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
49%
$389M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$88.3M
derived; firm RAUM over IAPD count
Employees
12
7 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
67 filings and snapshots on the tape
RAUM$795M as of Mar 29, 2026
Feb 13, 2014$109M then
HNW client RAUM$69.5M as of Mar 29, 2026
Mar 26, 2018$5.9M then
State-registered IARs (5.B.3)7 as of Mar 29, 2026
Feb 13, 20145 then
Employees (5.A)12 as of Mar 29, 2026
Feb 13, 20146 then
Private funds: no history
RAUM +9.2% over the last fiscal year+8.7% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Mar 29, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $88.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 309derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $271,597derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -16%derived
- Compensation
- percentage of assets, hourly, subscription, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, publications, otherreportedItem 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)
- 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
- Investment companies$354M45%
- Individuals$320M40%
- High-net-worth individuals$69.5M8.7%
- Pension and profit-sharing plans$51.5M6.5%
- Individual clients
- 2,743reported
- HNW clients
- 37reported
- Pension plan clients
- 142reported
- Charitable clients
- n/areported
- Accounts
- 2,926reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourly, performancereported
- Class basis
- private_client_share=0.49 fund_share=0.45 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••• R••••• Q•••••• | Birmingham, Mi | Jan 4, 2013 | 25 y | 1 |
| B••••••• N••••••• G••••• | Birmingham, Mi | Jan 4, 2013 | 24 y | 1 |
| A••• M•••••• S••••• | Birmingham, Mi | Jan 4, 2013 | 25 y | 2 |
| J••••• P•••••• D•••• | Tampa, Fl | Jun 24, 2016 | 14 y | 0 |
| E•••• S••••• P•••• | Birmingham, Mi | Jun 22, 2023 | 12 y | 0 |
| J••• A••••• F••••••••• | Birmingham, Mi | Oct 18, 2023 | 40 y | 6 |
| J••••• O•••••••Certified Financial Planner | Birmingham, Mi | Jan 26, 2024 | 18 y | 6 |
| M••••••••• G••••••• B•••• | Birmingham, Mi | Oct 22, 2025 | 10 y | 0 |
| M••• E•••••••• J•••• | Birmingham, Mi | Apr 14, 2026 | 14 y | 9 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- M••• E•••••••• J•••• to A•••••• A••••••• S•••••••Dec 23, 2024 · RIA to affiliated broker-dealer or bank
- M•••••• V•••••• R•••••• to O•••••••• A•••• M••••••••• L••Aug 30, 2022 · RIA to a state-registered adviser
- J••• T•••••• B•••••• to E•••••••• P•••• W••••• P•••••••• L••Jun 1, 2021 · RIA to RIA
- K•••••• D•••••• S••••••••• to G••••• F•••••••• P•••••• C••••••• I•••Mar 26, 2018 · Other
- C••••••••• T••••• B•••••••• to T•• C•••••• A••••••• G••••• L••Apr 19, 2011 · Other
Joined, latest
- M••• E•••••••• J•••• from C••••• I••••••••• A••••••• L••Apr 14, 2026 · Affiliated broker-dealer or bank to independent RIA
- M••• E•••••••• J•••• from O•••• W•••••• I•••Nov 20, 2024 · Affiliated broker-dealer or bank to independent RIA
- J••••• O••••••• from R•••••• W•••••Jan 26, 2024 · RIA to RIA
- J••• A••••• F••••••••• from G•• S••••••••• I•••Oct 18, 2023 · Affiliated broker-dealer or bank to independent RIA
- J••• T•••••• B•••••• from S••••• A••••••• S••••••••Aug 27, 2020 · Other
- M•••••• V•••••• R•••••• from H•••• F•••••••• S•••••••• I•••Apr 4, 2019 · RIA to RIA
- A••• M•••••• S••••• from T•••••• E••••••••• • P••••••••• I•••May 17, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• B•••••••• N••••••• · President And Chief Compliance Officercontrolsince 11/2005 · owns 25% to 50%
- Q••••••• A•••• R••••• · Vice Presidentcontrolsince 05/2010 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Birmingham, Mi · principal | 9 | 2 | 0 | ||
| Rogers, Ar | 1 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- unusually high clients per advisorStatic outlier · filing Mar 29, 2026private clients per advisor of 308.9 against a peer median of 63.6 (1210 comparable advisers, 99.0th percentile, 6.6 robust deviations)peers: independent wealth managers, $500M to $1B (1,210) · 99% percentile
- institutional asset share shiftChange between filings · filing Mar 29, 2026institutional share of RAUM moved from 22.0% to 6.0% between the annual amendments of 2025-03-25 and 2026-03-29peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 3,456 to 2,926Nov 3, 2025 to Mar 29, 2026
- Corporate clients · 13 to 0Nov 3, 2025 to Mar 29, 2026
- HNW clients · 36 to 37Nov 3, 2025 to Mar 29, 2026
- Individual clients · 3,282 to 2,743Nov 3, 2025 to Mar 29, 2026
- Pension plan clients · 122 to 142Nov 3, 2025 to Mar 29, 2026
- Financial planning clients · 0 to 1-10Nov 3, 2025 to Mar 29, 2026
- Discretionary RAUM · $727M to $795MNov 3, 2025 to Mar 29, 2026
- HNW RAUM · $70.0M to $69.5MNov 3, 2025 to Mar 29, 2026
- Individual RAUM · $212M to $320MNov 3, 2025 to Mar 29, 2026
- Pension RAUM · $36.8M to $51.5MNov 3, 2025 to Mar 29, 2026
- RAUM · $727M to $795MNov 3, 2025 to Mar 29, 2026
- Financial planning clients · 0 to 0Mar 25, 2025 to Nov 3, 2025
- Accounts · 3,697 to 3,456Nov 20, 2024 to Mar 25, 2025
- Advisory employees · 6 to 7Nov 20, 2024 to Mar 25, 2025
- Corporate clients · unset to 13.0Nov 20, 2024 to Mar 25, 2025
- HNW clients · 49 to 36Nov 20, 2024 to Mar 25, 2025
- Individual clients · 3,312 to 3,282Nov 20, 2024 to Mar 25, 2025
- Pension plan clients · unset to 122.0Nov 20, 2024 to Mar 25, 2025
- State-registered IARs · 8 to 7Nov 20, 2024 to Mar 25, 2025
- Other offices · 3 to 2Nov 20, 2024 to Mar 25, 2025
- Discretionary RAUM · $375M to $727MNov 20, 2024 to Mar 25, 2025
- HNW RAUM · $77.5M to $70.0MNov 20, 2024 to Mar 25, 2025
- Individual RAUM · $298M to $212MNov 20, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $338M to $0Nov 20, 2024 to Mar 25, 2025
- Pension RAUM · unset to 36827534.0Nov 20, 2024 to Mar 25, 2025
- RAUM · $713M to $727MNov 20, 2024 to Mar 25, 2025
- Other offices · 2 to 3Oct 28, 2024 to Nov 20, 2024
- Accounts · 3,505 to 3,697Nov 8, 2023 to Mar 25, 2024
- HNW clients · 25 to 49Nov 8, 2023 to Mar 25, 2024
- Individual clients · 3,477 to 3,312Nov 8, 2023 to Mar 25, 2024
- Discretionary RAUM · $347M to $375MNov 8, 2023 to Mar 25, 2024
- HNW RAUM · $46.2M to $77.5MNov 8, 2023 to Mar 25, 2024
- Individual RAUM · $301M to $298MNov 8, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $272M to $338MNov 8, 2023 to Mar 25, 2024
- RAUM · $619M to $713MNov 8, 2023 to Mar 25, 2024
- Other offices · 1 to 2Oct 18, 2023 to Oct 18, 2023
- Accounts · 3,808 to 3,505Jan 6, 2023 to Mar 24, 2023
- HNW clients · 48 to 25Jan 6, 2023 to Mar 24, 2023
- Individual clients · 3,807 to 3,477Jan 6, 2023 to Mar 24, 2023
- Employees · 11 to 12Jan 6, 2023 to Mar 24, 2023
Signals
4 dated events
- M••• E•••••••• J•••• left Q• A•••• M••••••••• C••••••••• for A•••••• A••••••• S••••••• (registered 2025-01-08)Dec 23, 2024 · Advisor changed firm · fact
- M•••••• V•••••• R•••••• left Q• A•••• M••••••••• C••••••••• for O•••••••• A•••• M••••••••• L•• (registered 2022-08-30)Aug 30, 2022 · Advisor changed firm · fact
- Q• A•••• M••••••••• C••••••••• reported RAUM $794.2M, up 48% from $536.9M (2021-09-09 to 2022-03-25)Mar 25, 2022 · RAUM change · derived
- Q• A•••• M••••••••• C••••••••• filed its initial SEC registration (Form ADV)Dec 5, 2012 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 248-566-1122reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 855-784-2399reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 888-348-1255reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- q3allseasonfunds.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (248) 566-1122reportedpublic record, Form ADV, Mar 29, 2026
- Contact form
- q3allseasonfunds.com/contactreportedpublished by the firm, firm site, Sep 17, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $88.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026