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 160281SEC 801-74061IAPD
Latest filing Mar 31, 2023
First filing on the tape Feb 14, 2012 · 15 filings
RAUM
$18.1M
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
97
14 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
6
$18.1M gross assets
History
15 filings and snapshots on the tape
RAUM$18.1M as of Mar 31, 2023
Mar 28, 2013$1.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2023
Mar 28, 20130 then
Employees (5.A)97 as of Mar 31, 2023
Mar 28, 201342 then
Private funds6 as of Mar 31, 2023
Mar 28, 20139 then
RAUM -91% over the last fiscal year-59% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2023; 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
$3.0MderivedRAUM 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
-91%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-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 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
  • 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)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$18.1M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
6reported
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
      9 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Q•••••• E••••• P••••••• I••• L•no longer reportedPrivate Equity Fund$36.8M48Feb 14, 2012
      Q•• I• ••••• L•Private Equity Fund$6.6M4Feb 14, 2012
      Q•• I• A••••••••• L•Private Equity Fund$6.3M11Feb 14, 2012
      Q•••••• P••••••• P••••••• I••• L•no longer reportedPrivate Equity Fund$6.1M4Feb 14, 2012
      Q•••••• P••••••• P••••••• I•• L•Private Equity Fund$4.8M7Feb 14, 2012
      Q•• I• A••••••• B•••• 2•••• L•Private Equity Fund$491,0362Feb 14, 2012
      W••••••• P•••••• E••••• O••••••••• F••• I• L•Private Equity Fund$041Feb 14, 2012
      Q•••••• E••••• P••••••• I•• L•no longer reportedPrivate Equity Fund$027Feb 14, 2012
      Q•••••• E••••• P••••••• I•• L•Private Equity Fund$0110Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••• A••••••••• C•••••• · Co-Presidentcontrol
        since 09/2022 · owns less than 5%
      • B••••• J••••• V••••• · Partner, General Counselcontrol
        since 12/2011 · owns less than 5%
      • B•••••• S••••••• V••••••••• · Chief Compliance Officercontrol
        since 02/2023 · owns less than 5%
      • D•••••• M••••••• A•••• · Partner, Chief Financial Officercontrol
        since 12/2011 · owns less than 5%
      • K••••••• A••• · Co-Presidentcontrol
        since 04/2022 · owns less than 5%
      • V•••••• S•••••• W•••••• · Chief Executive Officercontrol
        since 12/2011 · owns less than 5%
      • V•••••• J•••••••• F•• · Partnercontrol
        since 05/1998 · owns 25% to 50% of T•••••• E••••• P••••••• I• L•
      • V•••••• S•••••• W•••••• · Partnercontrol
        since 05/1998 · owns 25% to 50% of T•••••• E••••• P••••••• I• L•
      Entity owners
      • Q•• M••••••••• L•• · Sole Member
        direct · owns 75% or more
      • T•••••• E••••• P••••••• I• L• · Member
        indirect · owns 75% or more of Q•• M••••••••• L••
      Related persons
      Schedule D 7.A
      • Q•••••• Capital Group
        investment adviserbanknRAUM $29B
      • Q•••••• Capital Group
        investment adviserbanknRAUM $491M
      • Q•••••• E••••• M••••••••• I•• L•
        bankpooled vehicle sponsorn
      • W••••••• A•••• M••••••••• L•
        bankpooled vehicle sponsorn
      Advisers that list Q•• A•••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 8 to 14
        Mar 8, 2023 to Mar 31, 2023
      • Employees · 78 to 97
        Mar 8, 2023 to Mar 31, 2023
      • Discretionary RAUM · $202M to $18.1M
        Mar 8, 2023 to Mar 31, 2023
      • Pooled vehicle RAUM · $202M to $18.1M
        Mar 8, 2023 to Mar 31, 2023
      • RAUM · $202M to $18.1M
        Mar 8, 2023 to Mar 31, 2023
      • Employees · 65 to 78
        Mar 31, 2021 to Mar 31, 2022
      • Discretionary RAUM · $234M to $202M
        Mar 31, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $234M to $202M
        Mar 31, 2021 to Mar 31, 2022
      • RAUM · $234M to $202M
        Mar 31, 2021 to Mar 31, 2022
      • Advisory employees · 6 to 8
        Mar 30, 2020 to Mar 31, 2021
      • Employees · 59 to 65
        Mar 30, 2020 to Mar 31, 2021
      • Discretionary RAUM · $269M to $234M
        Mar 30, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $269M to $234M
        Mar 30, 2020 to Mar 31, 2021
      • RAUM · $269M to $234M
        Mar 30, 2020 to Mar 31, 2021
      • Advisory employees · 5 to 6
        Nov 27, 2019 to Mar 30, 2020
      • Employees · 61 to 59
        Nov 27, 2019 to Mar 30, 2020
      • Discretionary RAUM · $336M to $269M
        Nov 27, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $336M to $269M
        Nov 27, 2019 to Mar 30, 2020
      • RAUM · $336M to $269M
        Nov 27, 2019 to Mar 30, 2020
      • Employees · 49 to 61
        Mar 29, 2018 to Mar 29, 2019
      • Discretionary RAUM · $524M to $336M
        Mar 29, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $524M to $336M
        Mar 29, 2018 to Mar 29, 2019
      • RAUM · $524M to $336M
        Mar 29, 2018 to Mar 29, 2019
      • Pooled vehicle clients · unset to 6.0
        Mar 31, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 29, 2018
      • Discretionary RAUM · $823M to $524M
        Mar 31, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 523681169.0
        Mar 31, 2017 to Mar 29, 2018
      • RAUM · $823M to $524M
        Mar 31, 2017 to Mar 29, 2018
      • Accounts · 8 to 6
        Mar 30, 2016 to Mar 31, 2017
      • Employees · 45 to 49
        Mar 30, 2016 to Mar 31, 2017
      • Private funds · 8 to 6
        Mar 30, 2016 to Mar 31, 2017
      • Discretionary RAUM · $987M to $823M
        Mar 30, 2016 to Mar 31, 2017
      • RAUM · $987M to $823M
        Mar 30, 2016 to Mar 31, 2017
      • Accounts · 9 to 8
        Mar 31, 2015 to Mar 30, 2016
      • Employees · 41 to 45
        Mar 31, 2015 to Mar 30, 2016
      • Private funds · 9 to 8
        Mar 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $1.4B to $987M
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $1.4B to $987M
        Mar 31, 2015 to Mar 30, 2016
      • Employees · 33 to 41
        Mar 31, 2014 to Mar 31, 2015
      • Discretionary RAUM · $1.3B to $1.4B
        Mar 31, 2014 to Mar 31, 2015
      Signals
      6 dated events
      • Q•• A•••••••• L•• reported RAUM $18.1M, down 91% from $202.1M (2023-03-08 to 2023-03-31)
        Mar 31, 2023 · RAUM change · derived
      • Ajay Khurana (Co-President) appeared on Schedule A of Q•• A•••••••• L••
        Mar 31, 2023 · Control person joined · fact
      • Charles Alexander Baillie (Co-President) appeared on Schedule A of Q•• A•••••••• L••
        Mar 31, 2023 · Control person joined · fact
      • Vaidwattee Sharmin Beacco (Chief Compliance Officer) appeared on Schedule A of Q•• A•••••••• L••
        Mar 8, 2023 · Control person joined · fact
      • Q•• A•••••••• L•• reported RAUM $336.2M, down 36% from $523.7M (2018-03-29 to 2019-03-29)
        Mar 29, 2019 · RAUM change · derived
      • Q•• A•••••••• L•• reported RAUM $523.7M, down 36% from $823.0M (2017-03-31 to 2018-03-29)
        Mar 29, 2018 · RAUM change · derived
      Across DFX
      shared identifiers only, never a name match
      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