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 adviserHouston, TexasCRD 159863SEC 801-73970IAPD
Latest filing Mar 30, 2015
First filing on the tape Feb 14, 2012 · 6 filings
RAUM
$133M
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
0
0 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$133M gross assets
History
6 filings and snapshots on the tape
RAUM$133M as of Mar 30, 2015
Mar 28, 2013$983M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2015
Mar 28, 20130 then
Employees (5.A)0 as of Mar 30, 2015
Mar 28, 2013307 then
Private funds3 as of Mar 30, 2015
Mar 28, 20133 then
RAUM -85% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2015; 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
$26.5MderivedRAUM 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
-85%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 assets, performance-based, otherreportedItem 5.E
Advisory activities
otherreportedItem 5.G
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)
  • 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
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
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Q•••••• R•••••••• A•• L•Hedge Fund$112M60Feb 14, 2012
      Q•••••• R•••••••• F••• I• N••• L•Hedge Fund$86.7M6Mar 28, 2014
      Q•••••• R•••••••• F••• I•• L•Hedge Fund$27.5M5Mar 28, 2014
      Q•••••• R•••••••• C• L•Hedge Fund$12.8M4Feb 14, 2012
      Q•••••• R•••••••• B• L•Hedge Fund$8.3M13Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••••• J•••• H• · President, Chief Operating Officercontrol
        since 09/2010 · owns less than 5%
      • H••••• J••••• B••• · Chief Financial Officercontrol
        since 10/2011 · owns less than 5%
      • R••••• G••••••• S• · Svp & General Counsel, Chief Compliance Officercontrol
        since 08/2009 · owns less than 5%
      • S••••• A•••• L• · Chief Executive Officercontrol
        since 04/2009 · owns less than 5%
      • C•••••••• J•••• H• · Membercontrol
        since 01/2005 · owns 50% to 75% of J•• E••••• H•••••••• L••
      • C•••••••• K••••••• M• · Membercontrol
        since 01/2005 · owns 50% to 75% of J•• E••••• H•••••••• L••
      • C•••••••• A•••••• M•••• · L•••••• Partnercontrol
        since 01/2000 · owns 50% to 75% of S••••••• E••••• P•••••••• L•
      • N••••••••• M••••••• A•• · Partnercontrol
        since 06/1998 · owns 25% to 50% of B••••••••• I••••••••• I• L•••
      • N••••••••• T•••• R••••••• · Partnercontrol
        since 06/1998 · owns 25% to 50% of B••••••••• I••••••••• I• L•••
      • S••••• A•••• L• · Shareholdercontrol
        since 07/1998 · owns 75% or more of C•••••• I••••••••• I•••
      • V•••••• J•••••••• F•• · Partnercontrol
        since 05/1998 · owns 75% or more of T•••••• E••••• P••••••• I• L•
      • V•••••• S•••••• W•••••• · Partnercontrol
        since 05/1998 · owns 75% or more of T•••••• E••••• P••••••• I• L•
      Entity owners
      • Q•••••• R•••••••• M••••••••• L•• · Sole Member Of Q•• A•••••••• L••
        direct · owns 75% or more
      • A••••• A•••• M••••••••• L•• · L•••••• Partner
        indirect · owns 25% to 50% of Q• H•••••••• L•
      • B••••••••• I••••••••• I• L••• · Member
        indirect · owns 50% to 75% of Qr Holdings II, LLC
      • B••••••••• I••••••••• I• L••• · Member
        indirect · owns 25% to 50% of Q• H•••••••• L•
      • C•••••• I••••••••• I••• · Member
        indirect · owns 50% to 75% of Qr II Asset Holdings, LLC
      • C•• L•••••• L•••••••• C•••••• · L•••••• Partner
        indirect · owns 25% to 50% of S••••••• E••••• P•••••••• L•
      • J•• E••••• H•••••••• L•• · Partner
        indirect · owns 75% or more of J•• E••••• P•••••••• L•
      • J•• E••••• P•••••••• L• · Member
        indirect · owns 50% to 75% of Qr II Asset Holdings, LLC
      • Q• H•••••••• L• · Sole Member
        indirect · owns 75% or more of Q•••••• R•••••••• M••••••••• L••
      • Q• H•••••••• L• · L•••••• Partner
        indirect · owns 50% to 75% of Q• H•••••••• L•
      • S••••••• E••••• P•••••••• L• · Partner
        indirect · owns 75% or more of A••••• A•••• M••••••••• L••
      • T•••••• E••••• P••••••• I• L• · Member
        indirect · owns 25% to 50% of Q• H•••••••• L•
      • T•••••• E••••• P••••••• I• L• · Member
        indirect · owns 50% to 75% of Qr Holdings II, LLC
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 68 to 0
        Mar 28, 2014 to Mar 30, 2015
      • Employees · 360 to 0
        Mar 28, 2014 to Mar 30, 2015
      • Private funds · 5 to 3
        Mar 28, 2014 to Mar 30, 2015
      • Discretionary RAUM · $905M to $133M
        Mar 28, 2014 to Mar 30, 2015
      • RAUM · $905M to $133M
        Mar 28, 2014 to Mar 30, 2015
      • Accounts · 3 to 5
        Mar 28, 2013 to Mar 28, 2014
      • Advisory employees · 35 to 68
        Mar 28, 2013 to Mar 28, 2014
      • Employees · 307 to 360
        Mar 28, 2013 to Mar 28, 2014
      • Private funds · 3 to 5
        Mar 28, 2013 to Mar 28, 2014
      • Discretionary RAUM · $983M to $905M
        Mar 28, 2013 to Mar 28, 2014
      • RAUM · $983M to $905M
        Mar 28, 2013 to Mar 28, 2014
      • Advisory employees · 9 to 35
        Dec 19, 2012 to Mar 28, 2013
      • Business name · Q•••••• R•••••••• A•••••••• L•• to Q•• A•••••••• L••
        Dec 19, 2012 to Mar 28, 2013
      • Employees · 289 to 307
        Dec 19, 2012 to Mar 28, 2013
      • Legal name · Q•••••• R•••••••• A•••••••• L•• to Q•• A•••••••• L••
        Dec 19, 2012 to Mar 28, 2013
      • Discretionary RAUM · $1.1B to $983M
        Dec 19, 2012 to Mar 28, 2013
      • RAUM · $1.1B to $983M
        Dec 19, 2012 to Mar 28, 2013
      • Related bank · false to true
        Dec 19, 2012 to Mar 28, 2013
      • Advisory employees · unset to 9.0
        Mar 30, 2012 to Dec 19, 2012
      • BD registered reps · unset to 0.0
        Mar 30, 2012 to Dec 19, 2012
      • Employees · unset to 289.0
        Mar 30, 2012 to Dec 19, 2012
      • State-registered IARs · unset to 0.0
        Mar 30, 2012 to Dec 19, 2012
      • Discretionary RAUM · $1.3B to $1.1B
        Mar 30, 2012 to Dec 19, 2012
      • RAUM · $1.3B to $1.1B
        Mar 30, 2012 to Dec 19, 2012
      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