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
Quadcap Wealth Management, LLC
Latest filing Sep 16, 2026
First filing on the tape Mar 26, 2014 · 45 filings
SEC status approved since Apr 17, 2014
RAUM
$1.3B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$1.3B individuals and HNW
Advisors
13
registered through the firm on IAPD
RAUM per advisor
$103M
derived; firm RAUM over IAPD count
Employees
23
18 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
45 filings and snapshots on the tape
RAUM$1.3B as of Mar 30, 2026
Mar 16, 2015$137M then
HNW client RAUM$1.3B as of Mar 30, 2026
Mar 20, 2018$290M then
State-registered IARs (5.B.3)15 as of Mar 30, 2026
Mar 16, 20151 then
Employees (5.A)23 as of Mar 30, 2026
Mar 16, 20152 then
Private funds: no history
RAUM +18% over the last fiscal year+28% a year over threeIARs 12 to 15
Practice profile
derived from the filing of Sep 16, 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
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $103MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 45derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.3MderivedHNW RAUM over HNW clients
- Average account
- $679,074derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 13.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.4%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, otherreportedItem 5.G
- Financial planning clients
- 1,000reportedItem 5.H
- Custody
- $478M, 321 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.3B95%
- Individuals$59.6M4.4%
- Charitable organizations$9.7M0.7%
- Pension and profit-sharing plans$2.3M0.2%
- Individual clients
- 288reported
- HNW clients
- 294reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,974reported
- Financial planning clients
- 1,000reported
- Wrap fee programs
- noreported
- Custody of client assets
- $478M for 321 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
13 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| David Blair | Frisco, Tx | Sep 30, 2009 | 24 y | 2 |
| Cortnie Lomas Rodriguez | Frisco, Tx | Feb 21, 2014 | 13 y | 1 |
| Robert Cecil Alston | Frisco, Tx | Oct 16, 2015 | 31 y | 3 |
| Mary Macintosh Harris | Frisco, Tx | Jul 19, 2017 | 23 y | 5 |
| Timothy Micah Foster | Frisco, Tx | Nov 5, 2020 | 16 y | 0 |
| Anne Bethany Robinson | Frisco, Tx | Apr 7, 2024 | 19 y | 1 |
| Monica Marie SipesCertified Financial Planner | Frisco, Tx | May 14, 2024 | 16 y | 6 |
| Christian Drew PattersonCertified Financial Planner | Frisco, Tx | May 23, 2024 | 12 y | 1 |
| Miguel Rundstrom-Holguin | Frisco, Tx | Nov 5, 2024 | 10 y | 0 |
| Alexandra Baskin Mcconnell | Frisco, Tx | Feb 25, 2025 | 12 y | 1 |
| Gianna Avila Mossotti | Frisco, Tx | Aug 14, 2025 | 11 y | 3 |
| Cooper W Segars | Frisco, Tx | Jul 2, 2026 | 13 y | 1 |
| Delonte Harrell | Frisco, Tx | Jul 10, 2026 | 12 y | 1 |
Advisor movement
1 left, 2 joined in 12 months
net +1 in 12 months0 left in 90 days2 joined in 90 daysdeparture rate 7.7% of current headcount2 left over 36 months
Left, latest
- Tori Nichole Glass to Victory FinancialJun 11, 2026 · RIA to RIA
- Robert Charles Knode to Knode Wealth Management LLCJan 13, 2025 · RIA to a state-registered adviser
- Luke Martin Tait to Golden Guidance LLCOct 20, 2022 · RIA to a state-registered adviser
- David Allen Strandin to Bok Financial AdvisorsSep 30, 2019 · RIA to affiliated broker-dealer or bank
- Michael Scott Christians to Mills Wealth Advisors, LLCJan 27, 2018 · RIA to RIA
- Daniel Jad Mcguire to Retirement Planners Of AmericaJul 6, 2017 · Other
Joined, latest
- Delonte Harrell from Mcadam LLCJul 10, 2026 · RIA to RIA
- Cooper W Segars from Swmg, LLCJul 2, 2026 · RIA to RIA
- Gianna Avila Mossotti from Fisher InvestmentsAug 14, 2025 · RIA to RIA
- Alexandra Baskin Mcconnell from Goldman Sachs Wealth Services, L.P.Feb 25, 2025 · Affiliated broker-dealer or bank to independent RIA
- Christian Drew Patterson from Exencial Wealth AdvisorsMay 23, 2024 · RIA to RIA
- Monica Marie Sipes from Exencial Wealth AdvisorsMay 14, 2024 · RIA to RIA
- Tori Nichole Glass from MML Investors Services, LLCApr 7, 2024 · Affiliated broker-dealer or bank to independent RIA
- Anne Bethany Robinson from Goldman Sachs Wealth Services, L.P.Apr 7, 2024 · Affiliated broker-dealer or bank to independent RIA
- David Allen Strandin from Morgan StanleyJul 2, 2019 · Wirehouse to independent RIA
- Robert Charles Knode from Exencial Wealth AdvisorsMay 14, 2019 · RIA to RIA
- Michael Scott Christians from Morgan StanleyJan 26, 2018 · Wirehouse to independent RIA
- Mary Macintosh Harris from Fullcircle Wealth LLCJul 19, 2017 · Other
- Daniel Jad Mcguire from Forvis Mazars Wealth Advisors, LLCMay 23, 2017 · Other
- Luke Martin Tait from Paragon Wealth ManagementJul 29, 2016 · Other
- Robert Cecil Alston from Advisors Asset Management, Inc.Oct 16, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Cecil Robert Alston · Partner/Senior Compliance Officercontrolsince 01/2025 · owns less than 5%
- M Kelly Baker · Occo/Ccocontrolsince 10/2024 · owns less than 5%
- David Blair · Chief Executive Officercontrolsince 06/2009 · owns 75% or more
- June Denise Brochu · Chief Compliance Officercontrolsince 11/2025 · owns less than 5%
- Charles Robert Knode · Senior Wealth Managersince 02/2019 · owns less than 5%
- Katherine Natalie Lomas · Chief Operating Officersince 07/2022 · owns less than 5%
- Lomas Cortnie Rodriguez · Vice Presidentsince 01/2015 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Frisco, Tx · principal | 13 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 30, 2026ALSTON, ROBERT, CECIL (PARTNER/SENIOR COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2024-11-13 and 2026-03-30peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Mar 30, 2026BROCHU, DENISE, JUNE (CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2024-11-13 and 2026-03-30peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Mar 30, 2026BAKER, KELLY, M (OCCO/CCO) left Schedule A between the filings of 2024-11-13 and 2026-03-30peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Financial planning clients · More than 500 to More than 500Mar 30, 2026 to Sep 16, 2026
- Related adviser · false to unsetMar 30, 2026 to Sep 16, 2026
- Related bank · false to unsetMar 30, 2026 to Sep 16, 2026
- Related broker-dealer · false to unsetMar 30, 2026 to Sep 16, 2026
- Related insurance company · false to unsetMar 30, 2026 to Sep 16, 2026
- Succession · false to unsetMar 30, 2026 to Sep 16, 2026
- Accounts · 1,764 to 1,974Jan 7, 2026 to Mar 30, 2026
- Advisory employees · 12 to 18Jan 7, 2026 to Mar 30, 2026
- Advisory activities · 3 to 5Jan 7, 2026 to Mar 30, 2026
- HNW clients · 269 to 294Jan 7, 2026 to Mar 30, 2026
- Individual clients · 263 to 288Jan 7, 2026 to Mar 30, 2026
- Assets in custody · $888,523 to $478MJan 7, 2026 to Mar 30, 2026
- Custody of client assets · false to trueJan 7, 2026 to Mar 30, 2026
- Employees · 19 to 23Jan 7, 2026 to Mar 30, 2026
- State-registered IARs · 12 to 15Jan 7, 2026 to Mar 30, 2026
- Discretionary RAUM · $1.1B to $1.3BJan 7, 2026 to Mar 30, 2026
- HNW RAUM · $1.1B to $1.3BJan 7, 2026 to Mar 30, 2026
- Individual RAUM · $62.2M to $59.6MJan 7, 2026 to Mar 30, 2026
- Non-discretionary RAUM · $4.2M to $4.2MJan 7, 2026 to Mar 30, 2026
- Pension RAUM · unset to 2263893.0Jan 7, 2026 to Mar 30, 2026
- RAUM · $1.1B to $1.3BJan 7, 2026 to Mar 30, 2026
- Accounts · 1,485 to 1,764Jan 28, 2025 to Mar 31, 2025
- Advisory employees · 11 to 12Jan 28, 2025 to Mar 31, 2025
- HNW clients · 223 to 269Jan 28, 2025 to Mar 31, 2025
- Individual clients · 136 to 263Jan 28, 2025 to Mar 31, 2025
- Assets in custody · unset to 888523.0Jan 28, 2025 to Mar 31, 2025
- Employees · 16 to 19Jan 28, 2025 to Mar 31, 2025
- Financial planning clients · 251-500 to More than 500Jan 28, 2025 to Mar 31, 2025
- State-registered IARs · 11 to 12Jan 28, 2025 to Mar 31, 2025
- Discretionary RAUM · $766M to $1.1BJan 28, 2025 to Mar 31, 2025
- HNW RAUM · $738M to $1.1BJan 28, 2025 to Mar 31, 2025
- Individual RAUM · $25.8M to $62.2MJan 28, 2025 to Mar 31, 2025
- Non-discretionary RAUM · $4.1M to $4.2MJan 28, 2025 to Mar 31, 2025
- RAUM · $770M to $1.1BJan 28, 2025 to Mar 31, 2025
- Advisory employees · 8 to 11Sep 8, 2023 to Mar 28, 2024
- HNW clients · 167 to 223Sep 8, 2023 to Mar 28, 2024
- Individual clients · 110 to 136Sep 8, 2023 to Mar 28, 2024
- Employees · 12 to 16Sep 8, 2023 to Mar 28, 2024
- Financial planning clients · 101-250 to 251-500Sep 8, 2023 to Mar 28, 2024
- State-registered IARs · 8 to 11Sep 8, 2023 to Mar 28, 2024
Signals
8 dated events
- Tori Nichole Glass left Quadcap Wealth Management, Llc for Victory Financial (registered 2026-07-21)Jun 11, 2026 · Advisor changed firm · fact
- Quadcap Wealth Management, Llc reported RAUM $1.1B, up 48% from $769.7M (2025-01-28 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- Robert Charles Knode left Quadcap Wealth Management, Llc for Knode Wealth Management Llc (registered 2025-07-01)Jan 13, 2025 · Advisor changed firm · fact
- M Kelly Baker (Occo/Cco) appeared on Schedule A of Quadcap Wealth Management, LlcNov 13, 2024 · Control person joined · fact
- Rae Megan Harper (Chief Compliance Officer) appeared on Schedule A of Quadcap Wealth Management, LlcNov 9, 2022 · Control person joined · fact
- Luke Martin Tait left Quadcap Wealth Management, Llc for Golden Guidance Llc (registered 2019-04-02)Oct 20, 2022 · Advisor changed firm · fact
- Quadcap Wealth Management, Llc reported RAUM $448.2M, up 35% from $333.2M (2019-07-12 to 2020-03-31)Mar 31, 2020 · RAUM change · derived
- Quadcap Wealth Management, Llc filed its initial SEC registration (Form ADV)Mar 26, 2014 · 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 email
- ebhattarai@quadcapwm.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- lkincaid@quadcapwm.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- llapeyri@quadcapwm.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- nlomas@quadcapwm.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- amonroe@quadcapwm.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- cpatton@quadcapwm.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- ctapia@quadcapwm.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- dstanley@quadcapwm.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 469-218-9243reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 469-297-9277reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 469-270-7530reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/quadcap-wealth-management-llc/aboutreportedpublic record, Form ADV, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $103Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026