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
Constellation Wealth Advisors
Legal name Quadrant Capital Group LLC
Latest filing Jul 30, 2026
First filing on the tape Feb 16, 2012 · 48 filings
SEC status approved since May 28, 2008
RAUM
$5.4B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
77%
$4.2B individuals and HNW
Advisors
15
registered through the firm on IAPD
RAUM per advisor
$360M
derived; firm RAUM over IAPD count
Employees
26
20 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
4
reported on Schedule D
History
48 filings and snapshots on the tape
RAUM$5.4B as of Jul 30, 2026
Feb 16, 2012$167M then
HNW client RAUM$4.2B as of Jul 30, 2026
Mar 5, 2018$573M then
State-registered IARs (5.B.3)15 as of Jul 30, 2026
Feb 16, 20120 then
Employees (5.A)26 as of Jul 30, 2026
Feb 26, 20134 then
Private funds4 as of Jul 30, 2026
Feb 26, 20131 then
RAUM +16% over the last fiscal year+21% a year over threeIARs 17 to 15offices 2 to 1
Practice profile
derived from the filing of Jul 30, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $360MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 27derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $11.7MderivedHNW RAUM over HNW clients
- Average account
- $2.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 7.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- -12%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -16%derived
- Compensation
- percentage of assets, fixed fees, subscription, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 5.G
- Custody
- $775M, 139 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$4.2B77%
- Pooled investment vehicles$1.2B22%
- Charitable organizations$24.2M0.4%
- Corporations and businesses$16.7M0.3%
- Individuals$11.1M0.2%
- Individual clients
- 47reported
- HNW clients
- 356reported
- Pension plan clients
- n/areported
- Charitable clients
- 4reported
- Accounts
- 2,095reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $775M for 139 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.77 fund_share=0.22 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
15 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| John Marshall WilliamsChartered Financial Analyst | Cincinnati, Oh | Dec 20, 2010 | 30 y | 2 |
| Patrick Alan Lafley | Cincinnati, Oh | Apr 27, 2011 | 18 y | 1 |
| Emily Butterworth RoseCertified Financial Planner | Cincinnati, Oh | Jan 5, 2015 | 14 y | 0 |
| Kevin Byrne ThomasCertified Financial Planner | Cincinnati, Oh | Mar 2, 2017 | 11 y | 1 |
| Anna K PfaehlerCertified Financial Planner | Cincinnati, Oh | Mar 5, 2020 | 12 y | 0 |
| Nicholas Connor Reilly | Cincinnati, Oh | Mar 24, 2020 | 19 y | 2 |
| Cheryl Nicole RoseCertified Financial Planner, Chartered Financial Analyst | Cincinnati, Oh | Mar 24, 2020 | 30 y | 1 |
| Adam Davis MortonCertified Financial Planner | Cincinnati, Oh | Aug 18, 2020 | 13 y | 2 |
| Matthew WoebkenbergChartered Financial Analyst | Cincinnati, Oh | Jun 2, 2021 | 11 y | 0 |
| David John Snopkowski | Cincinnati, Oh | Mar 14, 2023 | 10 y | 0 |
| Nicolas Allen PaxsonCertified Financial Planner | Cincinnati, Oh | Mar 25, 2023 | 13 y | 2 |
| Thomas Mcconville | Cincinnati, Oh | Aug 20, 2025 | 10 y | 0 |
| Louisa Collier Gehring | Cincinnati, Oh | Aug 21, 2025 | 13 y | 0 |
| Samuel Warren Needham | Cincinnati, Oh | Sep 26, 2025 | 10 y | 1 |
| Bradley Rice | Cincinnati, Oh | Aug 3, 2026 | 11 y | 1 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 6.7% of current headcount6 left over 36 months
Left, latest
- Julie M. Kist to Kelos Wealth Planning, LLCApr 30, 2026 · RIA to a state-registered adviser
- Donna Sturgeon Sterwerf to Mai Capital Management, LLCApr 25, 2025 · RIA to RIA
- Jacob Michael Geglein to Mai Capital Management, LLCApr 25, 2025 · RIA to RIA
- Kevin Patrick Aug to Anchor Wealth AdvisorApr 25, 2025 · RIA to a state-registered adviser
- James Jonathan Hayes to Mai Capital Management, LLCApr 10, 2025 · RIA to RIA
- Skye Garland to Carnegie Investment CounselFeb 27, 2025 · RIA to RIA
- Kyle Wayne Rudduck to Compound Planning, Inc.Sep 12, 2023 · RIA to RIA
- Adam James Niestradt to Aprio Wealth Management, LLCApr 8, 2022 · RIA to RIA
Joined, latest
- Bradley Rice from Sandlapper Wealth Management, LLCAug 3, 2026 · RIA to RIA
- Julie M. Kist from LPL Financial LLCJul 15, 2025 · Affiliated broker-dealer or bank to independent RIA
- Nicolas Allen Paxson from Ritter Daniher Financial Advisory LLCMar 25, 2023 · RIA to RIA
- Skye Garland from Johnson Investment Counsel, Inc.Sep 10, 2021 · RIA to RIA
- James Jonathan Hayes from Pegasus PartnersSep 2, 2021 · RIA to RIA
- Adam Davis Morton from Fort Washington Investment Advisors IncAug 18, 2020 · Other
- John Marshall Williams from Fifth Third Securities, Inc.Dec 20, 2010 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Mai Capital Management, LLCApr 25, 2025 · Cincinnati, Oh
- 5 joined from Constellation Wealth Advisors, LLCMay 28, 2020 · Cincinnati, Oh · Firm absorbed
Private funds
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Quadrant Private Capital Solutions Platform, LP | Private Equity Fund | $1.1B | 125 | Feb 14, 2022 |
| Tulco Quadrant | Private Equity Fund | $90.5M | 87 | Mar 9, 2019 |
| Quadrant Private Capital Solutions Fund | Private Equity Fund | $16.4M | 36 | Jan 3, 2017 |
| Blue Water Quadrant | Private Equity Fund | $15.9M | 48 | Jan 3, 2017 |
| Qp Real Estate Navigator Fundno longer reported | Real Estate Fund | $58,748 | 9 | Aug 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Anne Kelly Bonnell · Partner & Chief Executive Officercontrolsince 01/2026 · owns less than 5%
- Alan Patrick Lafley · Managing Partner & Co-Foundercontrolsince 02/2008 · owns less than 5%
- John David Snopkowski · Partner & Chief Investment Officercontrolsince 01/2026 · owns less than 5%
- Wilton James Taylor · Chief Financial Officercontrolsince 08/2021 · owns less than 5%
- Marshall John Williams · Managing Partner & Co-Foundercontrolsince 08/2008 · owns 25% to 50%
- Alan Patrick Lafley · Member & Sole Managercontrolsince 01/2022 · owns F of Pal Qcg Holdings, LLC
- Daniel Patrick Hayes · Chief Compliance Officersince 11/2020 · owns less than 5%
Entity owners
- Pal Qcg Holdings, LLC · Memberdirect · owns 50% to 75%
- Votum, LLC · Memberindirect · owns 50% to 75% of Pal Qcg Holdings, LLC
Related persons
Schedule D 7.A
- Quadrant Gp LLCpooled vehicle sponsory
- Quadrant Pcs Gp LLCpooled vehicle sponsory
Advisers that list Constellation Wealth Advisors as a related person
- 289860 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Cincinnati, Oh · principal | 15 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Cincinnati, OH3 employees
- Franklin, TN2 employees
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jul 30, 2026Snopkowski, David, John (PARTNER & CHIEF INVESTMENT OFFICER) appeared on Schedule A between the filings of 2022-03-23 and 2026-07-30peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Jul 30, 2026WILLIAMS, JOHN, MARSHALL (MANAGING PARTNER & CO-FOUNDER) left Schedule A between the filings of 2022-03-23 and 2026-07-30peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Jul 30, 2026LAFLEY, PATRICK, ALAN (MEMBER & SOLE MANAGER) left Schedule A between the filings of 2022-03-23 and 2026-07-30peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Jul 30, 2026TAYLOR, JAMES, WILTON (CHIEF FINANCIAL OFFICER) left Schedule A between the filings of 2022-03-23 and 2026-07-30peers: independent wealth managers, $5B to $20B (289)
- discretionary share shiftChange between filings · filing Feb 20, 2026discretionary share of RAUM moved from 57.0% to 99.0% between the annual amendments of 2025-03-31 and 2026-02-20peers: independent wealth managers, $5B to $20B (289)
What changed
consecutive filings, newest first
- Accounts · 2,454 to 2,095Aug 1, 2025 to Feb 20, 2026
- Advisory employees · 23 to 20Aug 1, 2025 to Feb 20, 2026
- Corporate clients · 2 to 6Aug 1, 2025 to Feb 20, 2026
- HNW clients · 430 to 356Aug 1, 2025 to Feb 20, 2026
- Individual clients · 48 to 47Aug 1, 2025 to Feb 20, 2026
- Pension plan clients · 1.0 to unsetAug 1, 2025 to Feb 20, 2026
- Assets in custody · $859M to $775MAug 1, 2025 to Feb 20, 2026
- Employees · 31 to 26Aug 1, 2025 to Feb 20, 2026
- State-registered IARs · 17 to 15Aug 1, 2025 to Feb 20, 2026
- Other offices · 2 to 1Aug 1, 2025 to Feb 20, 2026
- Discretionary RAUM · $2.7B to $5.3BAug 1, 2025 to Feb 20, 2026
- HNW RAUM · $3.9B to $4.2BAug 1, 2025 to Feb 20, 2026
- Individual RAUM · $7.9M to $11.1MAug 1, 2025 to Feb 20, 2026
- Non-discretionary RAUM · $2.0B to $52.1MAug 1, 2025 to Feb 20, 2026
- Pension RAUM · 4117868.0 to unsetAug 1, 2025 to Feb 20, 2026
- Pooled vehicle RAUM · $764M to $1.2BAug 1, 2025 to Feb 20, 2026
- RAUM · $4.7B to $5.4BAug 1, 2025 to Feb 20, 2026
- Accounts · 2,231 to 2,454Feb 5, 2025 to Mar 31, 2025
- Advisory employees · 24 to 23Feb 5, 2025 to Mar 31, 2025
- Corporate clients · 3 to 2Feb 5, 2025 to Mar 31, 2025
- HNW clients · 277 to 430Feb 5, 2025 to Mar 31, 2025
- Individual clients · 150 to 48Feb 5, 2025 to Mar 31, 2025
- Assets in custody · $781M to $859MFeb 5, 2025 to Mar 31, 2025
- Financial planning clients · 101-250 to 101-250Feb 5, 2025 to Mar 31, 2025
- State-registered IARs · 19 to 17Feb 5, 2025 to Mar 31, 2025
- Discretionary RAUM · $2.2B to $2.7BFeb 5, 2025 to Mar 31, 2025
- HNW RAUM · $3.2B to $3.9BFeb 5, 2025 to Mar 31, 2025
- Individual RAUM · $55.6M to $7.9MFeb 5, 2025 to Mar 31, 2025
- Non-discretionary RAUM · $1.7B to $2.0BFeb 5, 2025 to Mar 31, 2025
- Pension RAUM · $3.6M to $4.1MFeb 5, 2025 to Mar 31, 2025
- Pooled vehicle RAUM · $579M to $764MFeb 5, 2025 to Mar 31, 2025
- RAUM · $3.9B to $4.7BFeb 5, 2025 to Mar 31, 2025
- Accounts · 1,975 to 2,231Dec 26, 2023 to Mar 28, 2024
- Corporate clients · 1 to 3Dec 26, 2023 to Mar 28, 2024
- HNW clients · 234 to 277Dec 26, 2023 to Mar 28, 2024
- Individual clients · 162 to 150Dec 26, 2023 to Mar 28, 2024
- Pension plan clients · 3 to 1Dec 26, 2023 to Mar 28, 2024
- Pooled vehicle clients · 5 to 4Dec 26, 2023 to Mar 28, 2024
- Assets in custody · $815M to $781MDec 26, 2023 to Mar 28, 2024
- Employees · 30 to 31Dec 26, 2023 to Mar 28, 2024
Signals
22 dated events
- Julie M. Kist left Constellation Wealth Advisors for Kelos Wealth Planning, Llc (registered 2026-05-26)Apr 30, 2026 · Advisor changed firm · fact
- Donna Sturgeon Sterwerf left Constellation Wealth Advisors for Mai Capital Management, Llc (registered 2025-05-14)Apr 25, 2025 · Advisor changed firm · fact
- Kevin Patrick Aug left Constellation Wealth Advisors for Anchor Wealth Advisor (registered 2025-04-04)Apr 25, 2025 · Advisor changed firm · fact
- Jacob Michael Geglein left Constellation Wealth Advisors for Mai Capital Management, Llc (registered 2025-05-14)Apr 25, 2025 · Advisor changed firm · fact
- 2 advisors left Constellation Wealth Advisors (Cincinnati, OH) for Mai Capital Management, LLC on the same dayApr 25, 2025 · Team lift-out · derived
- James Jonathan Hayes left Constellation Wealth Advisors for Mai Capital Management, Llc (registered 2025-04-15)Apr 10, 2025 · Advisor changed firm · fact
- Skye Garland left Constellation Wealth Advisors for Carnegie Investment Counsel (registered 2025-09-12)Feb 27, 2025 · Advisor changed firm · fact
- Constellation Wealth Advisors reported RAUM $3.9B, up 28% from $3.0B (2023-12-26 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Kyle Wayne Rudduck left Constellation Wealth Advisors for Compound Planning, Inc. (registered 2023-07-27)Sep 12, 2023 · Advisor changed firm · fact
- Adam James Niestradt left Constellation Wealth Advisors for Aprio Wealth Management, Llc (registered 2022-10-26)Apr 8, 2022 · Advisor changed firm · fact
- Constellation Wealth Advisors reported RAUM $3.0B, up 50% from $2.0B (2022-02-14 to 2022-03-23)Mar 23, 2022 · RAUM change · derived
- James Adam Niestradt (Chief Investment Officer) no longer on Schedule A of Constellation Wealth Advisors (listed 2022-02-14, absent 2022-03-23)Mar 23, 2022 · Control person left · inference
- Anne Kelly Bonnell (Chief Operating Officer) appeared on Schedule A of Constellation Wealth AdvisorsMar 23, 2022 · Control person joined · fact
- Wilton James Taylor (Chief Financial Officer) appeared on Schedule A of Constellation Wealth AdvisorsMar 23, 2022 · Control person joined · fact
- Michael Terrence Veith (Managing Member) no longer on Schedule A of Constellation Wealth Advisors (listed 2021-04-12, absent 2021-06-04)Jun 4, 2021 · Control person left · inference
- James Adam Niestradt (Chief Investment Officer) appeared on Schedule A of Constellation Wealth AdvisorsJun 4, 2021 · Control person joined · fact
- Constellation Wealth Advisors reported RAUM $2.0B, up 36% from $1.5B (2020-12-20 to 2021-01-31)Jan 31, 2021 · RAUM change · derived
- Patrick James Rogers (Managing Member) no longer on Schedule A of Constellation Wealth Advisors (listed 2020-12-20, absent 2021-01-31)Jan 31, 2021 · Control person left · inference
- Daniel Patrick Hayes (Chief Compliance Officer) appeared on Schedule A of Constellation Wealth AdvisorsDec 20, 2020 · Control person joined · fact
- Constellation Wealth Advisors reported RAUM $1.5B, up 78% from $829.4M (2019-03-09 to 2020-02-07)Feb 7, 2020 · RAUM change · derived
- Constellation Wealth Advisors reported RAUM $829.4M, up 37% from $606.1M (2018-11-19 to 2019-03-09)Mar 9, 2019 · RAUM change · derived
- Michael Terrence Veith (Managing Member) appeared on Schedule A of Constellation Wealth AdvisorsMar 9, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- Constellation Wealth Advisors · Independent Sponsorsshared crd · capital_provider
- Constellation Wealth Advisors · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- info@constellation-wealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 513-871-5500reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/quadrant-pcreportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/constellation-wealthreportedpublic record, Form ADV, Sep 18, 2026
- Website
- constellation-wealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 513-871-5500reportedpublic record, Form ADV, Jul 30, 2026
- Contact form
- constellation-wealth.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- constellation-wealth.com/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $360Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
Constellation Wealth Advisors is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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