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
Quad-Cities Investment Group, LLC
Latest filing Apr 16, 2026
First filing on the tape Feb 22, 2012 · 55 filings
SEC status approved since Jun 28, 2010
RAUM
$426M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
84%
$356M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$60.8M
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
55 filings and snapshots on the tape
RAUM$426M as of Apr 16, 2026
Feb 22, 2012$125M then
HNW client RAUM$275M as of Apr 16, 2026
Mar 29, 2018$96.5M then
State-registered IARs (5.B.3)7 as of Apr 16, 2026
Feb 22, 20120 then
Employees (5.A)8 as of Apr 16, 2026
Feb 27, 20136 then
Private funds: no history
RAUM +13% over the last fiscal year+13% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Apr 16, 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
- $60.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 85derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $275,228derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 8.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.7%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $264M, 495 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$275M65%
- Individuals$81.1M19%
- Corporations and businesses$34.0M8.0%
- Pension and profit-sharing plans$25.2M5.9%
- Charitable organizations$10.3M2.4%
- Individual clients
- 456reported
- HNW clients
- 137reported
- Pension plan clients
- 8reported
- Charitable clients
- 6reported
- Accounts
- 1,546reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $264M for 495 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.84 fund_share=0.0 institutional_share=0.08 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Laura Ann Swift | Saugerties, Ny | Jun 28, 2010 | 26 y | 3 |
| Scott Lee Stoltenberg | Davenport, Ia | Jun 28, 2010 | 29 y | 3 |
| David Allen Borcherding | Davenport, Ia | Jun 29, 2010 | 25 y | 4 |
| Christine Ann McelvaniaCertified Financial Planner, Chartered Financial Analyst | Davenport, Ia | Oct 17, 2013 | 13 y | 0 |
| Mark Marion Grywacheski | Davenport, Ia | Feb 1, 2016 | 11 y | 1 |
| Amy Lynn Kramer | Davenport, Ia | Jun 28, 2018 | 29 y | 3 |
| Jeremy Michael HauerCertified Financial Planner | Davenport, Ia | Oct 12, 2018 | 14 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Ryan P Jennings to Buckingham Strategic Wealth, LLCAug 8, 2017 · Other
Joined, latest
- Amy Lynn Kramer from Poterack Capital Advisory, Inc.Jun 28, 2018 · Other
- Mark Marion Grywacheski from Irongate International, L.L.C.Feb 1, 2016 · Other
- David Allen Borcherding from Chicago Investment Group Advisors, LLCJun 29, 2010 · Other
- Laura Ann Swift from Chicago Investment Group Advisors, LLCJun 28, 2010 · Other
- Scott Lee Stoltenberg from Chicago Investment Group Advisors, LLCJun 28, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Ann Christine Mcelvania · Chief Compliance Officer & Membercontrolsince 04/2022 · owns 10% to 25%
- Lee Scott Stoltenberg · Trusteecontrolsince 01/2020 · owns F of Scott L. Stoltenberg Trust
- Ann Laura Swift · Trusteecontrolsince 01/2020 · owns F of Laura A. Swift Trust
- Marie Jennifer Delapaz · Membersince 09/2021 · owns 10% to 25%
- Marion Mark Grywacheski · Trusteesince 02/2022 · owns F of Mark M Grywacheski Revocable Trust
Entity owners
- Laura A. Swift Trust · Memberdirect · owns 25% to 50%
- Scott L. Stoltenberg Trust · Memberdirect · owns 25% to 50%
- Mark M Grywacheski Revocable Trust · Memberdirect · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Davenport, Ia · principal | 7 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,473 to 1,546May 22, 2025 to Jan 28, 2026
- Corporate clients · 8 to 3May 22, 2025 to Jan 28, 2026
- HNW clients · 117 to 137May 22, 2025 to Jan 28, 2026
- Individual clients · 444 to 456May 22, 2025 to Jan 28, 2026
- Pension plan clients · 9 to 8May 22, 2025 to Jan 28, 2026
- Assets in custody · $224M to $264MMay 22, 2025 to Jan 28, 2026
- Discretionary RAUM · $360M to $407MMay 22, 2025 to Jan 28, 2026
- HNW RAUM · $229M to $275MMay 22, 2025 to Jan 28, 2026
- Individual RAUM · $77.3M to $81.1MMay 22, 2025 to Jan 28, 2026
- Non-discretionary RAUM · $16.0M to $18.6MMay 22, 2025 to Jan 28, 2026
- Pension RAUM · $25.1M to $25.2MMay 22, 2025 to Jan 28, 2026
- RAUM · $376M to $426MMay 22, 2025 to Jan 28, 2026
- Financial planning clients · 0 to 0Mar 21, 2025 to May 22, 2025
- Accounts · 1,401 to 1,473May 2, 2024 to Mar 21, 2025
- Corporate clients · 9 to 8May 2, 2024 to Mar 21, 2025
- HNW clients · 99 to 117May 2, 2024 to Mar 21, 2025
- Individual clients · 445 to 444May 2, 2024 to Mar 21, 2025
- Pension plan clients · 8 to 9May 2, 2024 to Mar 21, 2025
- Assets in custody · $192M to $224MMay 2, 2024 to Mar 21, 2025
- Discretionary RAUM · $319M to $360MMay 2, 2024 to Mar 21, 2025
- HNW RAUM · $191M to $229MMay 2, 2024 to Mar 21, 2025
- Individual RAUM · $78.1M to $77.3MMay 2, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $14.4M to $16.0MMay 2, 2024 to Mar 21, 2025
- Pension RAUM · $19.7M to $25.1MMay 2, 2024 to Mar 21, 2025
- RAUM · $333M to $376MMay 2, 2024 to Mar 21, 2025
- Accounts · 1,315 to 1,401Aug 21, 2023 to Mar 1, 2024
- Charity clients · 5 to 6Aug 21, 2023 to Mar 1, 2024
- HNW clients · 93 to 99Aug 21, 2023 to Mar 1, 2024
- Individual clients · 403 to 445Aug 21, 2023 to Mar 1, 2024
- Pension plan clients · 7 to 8Aug 21, 2023 to Mar 1, 2024
- Assets in custody · $170M to $192MAug 21, 2023 to Mar 1, 2024
- Financial planning clients · 1-10 to 0Aug 21, 2023 to Mar 1, 2024
- Discretionary RAUM · $277M to $319MAug 21, 2023 to Mar 1, 2024
- HNW RAUM · $167M to $191MAug 21, 2023 to Mar 1, 2024
- Individual RAUM · $69.3M to $78.1MAug 21, 2023 to Mar 1, 2024
- Non-discretionary RAUM · $16.4M to $14.4MAug 21, 2023 to Mar 1, 2024
- Pension RAUM · $16.2M to $19.7MAug 21, 2023 to Mar 1, 2024
- RAUM · $293M to $333MAug 21, 2023 to Mar 1, 2024
- Accounts · 1,231 to 1,315Apr 15, 2022 to Mar 20, 2023
- Advisory employees · 9 to 6Apr 15, 2022 to Mar 20, 2023
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.
How to reach
public business contact points only, each with its source
- Business phone
- 563-449-5651reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 563-484-5000reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/QUAD-CITIES-INVESTMENT-GROUPreportedpublic record, Form ADV, Sep 17, 2026
- Website
- QUADCITIESINVESTMENTGROUP.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 563-484-5000reportedpublic record, Form ADV, Apr 16, 2026
- Contact form
- QUADCITIESINVESTMENTGROUP.COM/contactreportedpublished by the firm, firm site, Sep 16, 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
- $60.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026