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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Former SEC-registered adviser

Q•••••••• A••••••• L•

Former SEC-registered adviserPompano Beach, FloridaCRD 145942SEC 801-72655IAPD
Latest filing Mar 22, 2016
First filing on the tape Nov 18, 2011 · 13 filings
RAUM
$50.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$30.8M gross assets
History
13 filings and snapshots on the tape
RAUM$50.1M as of Mar 22, 2016
Feb 1, 2012$168M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 22, 2016
Feb 1, 20120 then
Employees (5.A)3 as of Mar 22, 2016
Jan 8, 20134 then
Private funds1 as of Mar 22, 2016
Feb 1, 20121 then
RAUM -7.4% over the last fiscal year-22% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 22, 2016; every figure names its basis
RAUM per advisor
$16.7MderivedRAUM 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
$25.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%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
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-7.4%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$30.8M, 2 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$30.8M for 2 clientsreported
Compensation
% of AUM, performancereported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Q•••••••• E••••• F••• L•Hedge Fund$30.8M24Feb 1, 2012
      W•••••• C•••••• S••••• F••• L•• • S••••• P•no longer reportedHedge Fund$19.1M1Feb 17, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • A••••••• F•••••• R••• · Principal And Chief Compliance Officercontrol
        since 08/2007 · owns 25% to 50%
      • E••••• K••••• E••• · Principalcontrol
        since 08/2007 · owns 25% to 50%
      • L••••••• R••••••• S••••••• · Principalcontrol
        since 08/2007 · owns 25% to 50%
      • A••••••• F•••••• R••• · Managing Membercontrol
        since 06/2014 · owns 75% or more of A•• L••
      • E••••• K••••• E••• · Managing Membercontrol
        since 06/2014 · owns 75% or more of K•••••••• L••
      • L••••••• R••••••• S••••••• · Managing Membercontrol
        since 06/2014 · owns 75% or more of R•• L••
      Entity owners
      • Q•••••••• M••••••••• L•• · General Partner
        direct · owns less than 5%
      • A•• L•• · Managing Member
        indirect · owns 25% to 50% of Q•••••••• M••••••••• L••
      • K•••••••• L•• · Managing Member
        indirect · owns 25% to 50% of Q•••••••• M••••••••• L••
      • R•• L•• · Managing Member
        indirect · owns 25% to 50% of Q•••••••• M••••••••• L••
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $54.1M to $30.8M
        Feb 11, 2015 to Mar 22, 2016
      • HQ city · FORT LAUDERDALE to POMPANO BEACH
        Feb 11, 2015 to Mar 22, 2016
      • Private funds · 2 to 1
        Feb 11, 2015 to Mar 22, 2016
      • Discretionary RAUM · $54.1M to $50.1M
        Feb 11, 2015 to Mar 22, 2016
      • RAUM · $54.1M to $50.1M
        Feb 11, 2015 to Mar 22, 2016
      • Assets in custody · $106M to $54.1M
        Jan 31, 2014 to Feb 11, 2015
      • Discretionary RAUM · $102M to $54.1M
        Jan 31, 2014 to Feb 11, 2015
      • RAUM · $102M to $54.1M
        Jan 31, 2014 to Feb 11, 2015
      • Discretionary RAUM · $106M to $102M
        Dec 2, 2013 to Jan 28, 2014
      • RAUM · $106M to $102M
        Dec 2, 2013 to Jan 28, 2014
      • Succession · true to false
        Dec 2, 2013 to Jan 28, 2014
      • Business name · Q•••••••• A•••••••• L•• to Q•••••••• A••••••• L•
        Nov 18, 2013 to Dec 2, 2013
      • Legal name · Q•••••••• A•••••••• L•• to Q•••••••• A••••••• L•
        Nov 18, 2013 to Dec 2, 2013
      • Succession · false to true
        Nov 18, 2013 to Dec 2, 2013
      • Advisory employees · 4 to 3
        Jan 8, 2013 to Nov 18, 2013
      • Assets in custody · $18.7M to $106M
        Jan 8, 2013 to Nov 18, 2013
      • Employees · 4 to 3
        Jan 8, 2013 to Nov 18, 2013
      • Organization form · Limited Liability Company to Limited Partnership
        Jan 8, 2013 to Nov 18, 2013
      • Discretionary RAUM · $104M to $106M
        Jan 8, 2013 to Nov 18, 2013
      • RAUM · $104M to $106M
        Jan 8, 2013 to Nov 18, 2013
      • Advisory employees · unset to 4.0
        Apr 13, 2012 to Jan 8, 2013
      • Assets in custody · $34.5M to $18.7M
        Apr 13, 2012 to Jan 8, 2013
      • Employees · unset to 4.0
        Apr 13, 2012 to Jan 8, 2013
      • State-registered IARs · 0 to 3
        Apr 13, 2012 to Jan 8, 2013
      • Discretionary RAUM · $168M to $104M
        Apr 13, 2012 to Jan 8, 2013
      • RAUM · $168M to $104M
        Apr 13, 2012 to Jan 8, 2013
      • Private funds · 1 to 2
        Feb 2, 2012 to Feb 17, 2012
      • Assets in custody · $26.0M to $34.5M
        Feb 1, 2012 to Feb 2, 2012
      • Insurance-licensed employees · unset to 0.0
        Nov 18, 2011 to Feb 1, 2012
      • HQ city · unset to FORT LAUDERDALE
        Nov 18, 2011 to Feb 1, 2012
      • HQ state · unset to FL
        Nov 18, 2011 to Feb 1, 2012
      • Private funds · unset to 1
        Nov 18, 2011 to Feb 1, 2012
      • Discretionary RAUM · $111M to $168M
        Nov 18, 2011 to Feb 1, 2012
      • RAUM · $111M to $168M
        Nov 18, 2011 to Feb 1, 2012
      Signals
      1 dated events
      • Q•••••••• A••••••• L• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Dec 2, 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