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••••••• I••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 146011SEC 801-68678IAPD
Latest filing Oct 18, 2017
First filing on the tape Apr 3, 2012 · 11 filings
RAUM
$166M
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
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$166M as of Mar 29, 2017
Apr 3, 2012$254M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2017
Mar 27, 20130 then
Employees (5.A)4 as of Mar 29, 2017
Mar 27, 20134 then
Private funds: no history
RAUM -38% over the last fiscal year-27% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Oct 18, 2017; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$23.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-38%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, otherreportedItem 5.G
Ownership
a PE fund or sponsor is a 25 percent or greater owner 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
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
7reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••••• A•••• · Managing Member / Chief Investment Officercontrol
        since 02/2008 · owns less than 5%
      • L••••• F••••••••• X••••• · Chief Compliance Officer And Director Of Portfolio Administrationcontrol
        since 08/2014 · owns less than 5%
      • P••••••••• J••••• M••••••• · Managing Membercontrol
        since 12/2007 · owns less than 5%
      • Y•••• W•••••• · Managing Member / Head Of Portfolio Management And Tradingcontrol
        since 02/2008 · owns less than 5%
      • B••••••••• A•••• · Managing Membercontrol
        since 02/2008 · owns 25% to 50% of Q••••••• G••••• L••
      • P••••••••• J••••• M••••••• · Managing Membercontrol
        since 12/2007 · owns 25% to 50% of Q••••••• G••••• L••
      • Y•••• W•••••• · Managing Membercontrol
        since 02/2008 · owns 25% to 50% of Q••••••• G••••• L••
      Entity owners
      • Q••••••• G••••• L•• · Member
        direct · owns 50% to 75%
      • S•••••••• I••••••••• G•••• V••••••• I•• L•• · Member
        direct · owns 25% to 50%
      • C••••••••• P••••• E••••••••• R••••••••• S••••• · Member
        indirect · owns 75% or more of S•••••••• I••••••••• G•••• V••••••• I•• L••
      • S•••••••• I••••••••• M••••••••• L•• · Managing Member
        indirect · owns F of S•••••••• I••••••••• G•••• V••••••• I•• L••
      Related persons
      Schedule D 7.A
      Advisers that list Q••••••• I••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Other offices · unset to 0.0
        May 3, 2017 to Oct 18, 2017
      • Accounts · 8 to 7
        Mar 21, 2016 to Mar 29, 2017
      • Discretionary RAUM · $269M to $166M
        Mar 21, 2016 to Mar 29, 2017
      • RAUM · $269M to $166M
        Mar 21, 2016 to Mar 29, 2017
      • Accounts · 7 to 8
        Aug 18, 2015 to Mar 21, 2016
      • Discretionary RAUM · $766M to $269M
        Aug 18, 2015 to Mar 21, 2016
      • RAUM · $766M to $269M
        Aug 18, 2015 to Mar 21, 2016
      • Advisory employees · 3 to 2
        Mar 13, 2015 to Aug 18, 2015
      • Employees · 5 to 4
        Mar 13, 2015 to Aug 18, 2015
      • Discretionary RAUM · $496M to $766M
        Mar 13, 2015 to Aug 18, 2015
      • RAUM · $496M to $766M
        Mar 13, 2015 to Aug 18, 2015
      • Accounts · 8 to 7
        Nov 3, 2014 to Mar 13, 2015
      • Advisory employees · 2 to 3
        Nov 3, 2014 to Mar 13, 2015
      • Employees · 4 to 5
        Nov 3, 2014 to Mar 13, 2015
      • Discretionary RAUM · $423M to $496M
        Nov 3, 2014 to Mar 13, 2015
      • RAUM · $423M to $496M
        Nov 3, 2014 to Mar 13, 2015
      • RAUM · $307M to $423M
        Mar 27, 2013 to Mar 31, 2014
      • Accounts · 11 to 8
        Mar 27, 2013 to Mar 31, 2014
      • Discretionary RAUM · $307M to $423M
        Mar 27, 2013 to Mar 31, 2014
      • Accounts · 4 to 11
        Apr 3, 2012 to Mar 27, 2013
      • Advisory employees · unset to 2.0
        Apr 3, 2012 to Mar 27, 2013
      • Employees · unset to 4.0
        Apr 3, 2012 to Mar 27, 2013
      • State-registered IARs · unset to 0.0
        Apr 3, 2012 to Mar 27, 2013
      • Discretionary RAUM · $254M to $307M
        Apr 3, 2012 to Mar 27, 2013
      • RAUM · $254M to $307M
        Apr 3, 2012 to Mar 27, 2013
      Signals
      No event on the tape.
      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