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
Alphaq Advisors
Legal name Alphaq Advisors LLC
Latest filing Feb 18, 2026
First filing on the tape Jun 29, 2021 · 20 filings
SEC status approved since Jul 30, 2021
RAUM
$90.6M
reported, Item 5.F
Discretionary
87%
of RAUM
Private clients
100%
$90.6M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$45.3M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$90.6M as of Feb 18, 2026
Mar 29, 2022$95.0M then
HNW client RAUM$69.9M as of Feb 18, 2026
Mar 29, 2022$45.0M then
State-registered IARs (5.B.3)2 as of Feb 18, 2026
Mar 29, 20223 then
Employees (5.A)2 as of Feb 18, 2026
Mar 29, 20223 then
Private funds: no history
RAUM +52% over the last fiscal year-29% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 18, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $45.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 43derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $323,679derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 87%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +52%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.5%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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
- 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
- High-net-worth individuals$69.9M77%
- Individuals$20.6M23%
- Corporations and businesses$74,3090.1%
- Individual clients
- 64reported
- HNW clients
- 22reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 280reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| Syed Rizvi | Winter Park, Fl | Jan 14, 2026 | 21 y | 0 |
| Peter H Mataras | Winter Park, Fl | Jan 15, 2026 | 25 y | 2 |
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 headcount4 left over 36 months
Left, latest
- Paul Judson Hershiser to Haven PrivateJul 3, 2024 · RIA to a newly registered adviser
- Johnny Marion Gibson to Haven PrivateJul 3, 2024 · RIA to a newly registered adviser
- Marc R Angle to Haven PrivateJul 3, 2024 · RIA to a newly registered adviser
- Stacey Lynel Cole to Haven PrivateJul 3, 2024 · RIA to a newly registered adviser
Joined, latest
- Peter H Mataras from Mataras Financial Services Inc.Jan 15, 2026 · Other
- Johnny Marion Gibson from Dominari Securities LLCApr 8, 2022 · RIA to RIA
- Marc R Angle from Dominari Securities LLCApr 8, 2022 · RIA to RIA
- Stacey Lynel Cole from Dominari Securities LLCApr 7, 2022 · RIA to RIA
- Paul Judson Hershiser from Hcm, LLCOct 6, 2009 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for Haven PrivateJul 3, 2024 · Winter Park, Fl · Firm absorbed
- 2 joined from Dominari Securities LLCApr 7, 2022 · New York, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Syed Rizvi · Ccocontrolsince 05/2006 · owns less than 5%
- Syed Rizvi · Managing Directorcontrolsince 04/2022 · owns 75% or more of Rizvi & Mathes, LLC
Entity owners
- Rizvi & Mathes, LLC · Memberdirect · owns 75% or more
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 |
|---|---|---|---|---|---|
| Winter Park, Fl · principal | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Feb 18, 2026custody of client assets (Item 9.A): yes on the filing of 2026-01-14, no on the filing of 2026-02-18peers: independent wealth managers, under $100M (704)
- RAUM up 50 %Change between filings · filing Feb 18, 2026RAUM (Item 5.F) moved from $59,462,442 to $90,630,000 (+52.0%) between the annual amendments of 2025-03-26 and 2026-02-18; the peer median change was +8.0% (219 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, under $100M (219) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 186 to 280Jan 14, 2026 to Feb 18, 2026
- HNW clients · 30 to 22Jan 14, 2026 to Feb 18, 2026
- Individual clients · 50 to 64Jan 14, 2026 to Feb 18, 2026
- Assets in custody · 53462442.0 to unsetJan 14, 2026 to Feb 18, 2026
- Custody of client assets · true to falseJan 14, 2026 to Feb 18, 2026
- Discretionary RAUM · $53.5M to $79.0MJan 14, 2026 to Feb 18, 2026
- HNW RAUM · $43.2M to $69.9MJan 14, 2026 to Feb 18, 2026
- Individual RAUM · $16.2M to $20.6MJan 14, 2026 to Feb 18, 2026
- Non-discretionary RAUM · $6.0M to $11.6MJan 14, 2026 to Feb 18, 2026
- RAUM · $59.5M to $90.6MJan 14, 2026 to Feb 18, 2026
- Assets in custody · unset to 53462442.0Jun 30, 2025 to Oct 17, 2025
- Custody of client assets · false to trueJun 30, 2025 to Oct 17, 2025
- Financial planning clients · 1-10 to 1-10Mar 26, 2025 to Jun 30, 2025
- Accounts · 294 to 186Aug 8, 2024 to Mar 26, 2025
- Corporate clients · 8 to 1Aug 8, 2024 to Mar 26, 2025
- HNW clients · 115 to 30Aug 8, 2024 to Mar 26, 2025
- Individual clients · 167 to 50Aug 8, 2024 to Mar 26, 2025
- Financial planning clients · 0 to 1-10Aug 8, 2024 to Mar 26, 2025
- Discretionary RAUM · $332M to $53.5MAug 8, 2024 to Mar 26, 2025
- HNW RAUM · $264M to $43.2MAug 8, 2024 to Mar 26, 2025
- Individual RAUM · $41.6M to $16.2MAug 8, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $0 to $6.0MAug 8, 2024 to Mar 26, 2025
- RAUM · $332M to $59.5MAug 8, 2024 to Mar 26, 2025
- Business name · HAVEN PRIVATE to ALPHAQ ADVISORSAug 6, 2024 to Aug 8, 2024
- Advisory employees · 6 to 2Jul 16, 2024 to Aug 6, 2024
- Employees · 7 to 2Jul 16, 2024 to Aug 6, 2024
- Insurance-licensed employees · 4 to 0Jul 16, 2024 to Aug 6, 2024
- HQ city · ORLANDO to WINTER PARKJul 16, 2024 to Aug 6, 2024
- State-registered IARs · 6 to 2Jul 16, 2024 to Aug 6, 2024
- Other offices · 2 to 1Jul 16, 2024 to Aug 6, 2024
- Related adviser · true to falseJul 16, 2024 to Aug 6, 2024
- Accounts · 600 to 294Feb 21, 2024 to Mar 27, 2024
- Corporate clients · unset to 8.0Feb 21, 2024 to Mar 27, 2024
- HNW clients · 75 to 115Feb 21, 2024 to Mar 27, 2024
- Individual clients · 100 to 167Feb 21, 2024 to Mar 27, 2024
- Insurance-licensed employees · 0 to 4Feb 21, 2024 to Mar 27, 2024
- Other offices · 0 to 2Feb 21, 2024 to Mar 27, 2024
- Discretionary RAUM · $250M to $332MFeb 21, 2024 to Mar 27, 2024
- HNW RAUM · $180M to $264MFeb 21, 2024 to Mar 27, 2024
- Individual RAUM · $70.0M to $41.6MFeb 21, 2024 to Mar 27, 2024
Signals
17 dated events
- Alphaq Advisors reported RAUM $59.5M, down 82% from $332.5M (2024-08-08 to 2025-03-26)Mar 26, 2025 · RAUM change · derived
- Lynel Stacey Cole (Managing Director) no longer on Schedule A of Alphaq Advisors (listed 2024-07-16, absent 2024-08-06)Aug 6, 2024 · Control person left · inference
- Judson Paul Hershiser (Managing Director) no longer on Schedule A of Alphaq Advisors (listed 2024-07-16, absent 2024-08-06)Aug 6, 2024 · Control person left · inference
- R Marc Angle (Managing Director) no longer on Schedule A of Alphaq Advisors (listed 2024-07-16, absent 2024-08-06)Aug 6, 2024 · Control person left · inference
- Marion Johnny Gibson (Managing Director) no longer on Schedule A of Alphaq Advisors (listed 2024-07-16, absent 2024-08-06)Aug 6, 2024 · Control person left · inference
- Paul Judson Hershiser left Alphaq Advisors for Haven Private (registered 2024-02-04)Jul 3, 2024 · Advisor changed firm · fact
- Stacey Lynel Cole left Alphaq Advisors for Haven Private (registered 2024-02-09)Jul 3, 2024 · Advisor changed firm · fact
- Johnny Marion Gibson left Alphaq Advisors for Haven Private (registered 2024-02-04)Jul 3, 2024 · Advisor changed firm · fact
- Marc R Angle left Alphaq Advisors for Haven Private (registered 2024-02-04)Jul 3, 2024 · Advisor changed firm · fact
- Alphaq Advisors's advisors moved to Haven Private (Winter Park, FL): 4 of 4 registered, on the same dayJul 3, 2024 · Firm absorbed (people side) · derived
- Marion Johnny Gibson (Managing Director) appeared on Schedule A of Alphaq AdvisorsAug 5, 2022 · Control person joined · fact
- R Marc Angle (Managing Director) appeared on Schedule A of Alphaq AdvisorsAug 5, 2022 · Control person joined · fact
- Lynel Stacey Cole (Managing Director) appeared on Schedule A of Alphaq AdvisorsAug 5, 2022 · Control person joined · fact
- Alphaq Advisors reported RAUM $220.0M, up 132% from $95.0M (2022-07-22 to 2022-08-05)Aug 5, 2022 · RAUM change · derived
- Knight Nathaniel Mathes (Member) no longer on Schedule A of Alphaq Advisors (listed 2022-07-22, absent 2022-08-05)Aug 5, 2022 · Control person left · inference
- 2 advisors left Dominari Securities LLC (New York, NY) for Alphaq Advisors on the same dayApr 7, 2022 · Team lift-out · derived
- Alphaq Advisors filed its initial SEC registration (Form ADV)Jun 29, 2021 · 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
- Principal office phone
- 407-982-4550reportedpublic record, Form ADV, Feb 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $45.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026