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••••••••• G•••• L••

Former SEC-registered adviserNew York, New YorkCRD 161540SEC 801-73704IAPD
Latest filing Mar 30, 2020
First filing on the tape Feb 14, 2012 · 13 filings
RAUM
$185M
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
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$137M gross assets
History
13 filings and snapshots on the tape
RAUM$185M as of Mar 30, 2020
Mar 28, 2013$1.5B then
HNW client RAUM$0 as of Mar 30, 2020
Mar 31, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Mar 28, 20130 then
Employees (5.A)3 as of Mar 30, 2020
Mar 28, 201317 then
Private funds3 as of Mar 30, 2020
Mar 28, 20136 then
RAUM -18% over the last fiscal year-32% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2020; 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
$61.5MderivedRAUM 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
-18%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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$185M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
3reported
Financial planning clients
0reported
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
      8 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Q••••••••• C•••••• P••••••• I• L•Private Equity Fund$115M102Feb 14, 2012
      Q••••••••• C•••••• P••••••• I••• L•Private Equity Fund$19.2M4Feb 14, 2012
      Q••••••••• S••••• P••••••• I• L•Private Equity Fund$3.0M69Feb 14, 2012
      Q••••••••• C•••••• P••••••• L•no longer reportedPrivate Equity Fund$2.4M193Feb 14, 2012
      Q••••••••• C•••••• P••••••• A• L•no longer reportedPrivate Equity Fund$885,9922Feb 14, 2012
      Q•• G•• E••••• I•••••••• L•no longer reportedPrivate Equity Fund$261,86016Mar 31, 2014
      Q•• I• E••••• I•••••••• •••• L•Private Equity Fund$160,25311Mar 31, 2014
      Q••••••••• S••••• P••••••• L•no longer reportedPrivate Equity Fund$126,12211Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • H••••• M••••••• A•••••• · President And Managing Principalcontrol
        since 01/2011 · owns less than 5%
      • H••••• M••••••• A•••••• · Managing Membercontrol
        since 01/2011 · owns 25% to 50% of Q••••••••• H••••••• L••
      • Y••• S••••• F••• · Chief Compliance Officer
        since 09/2018 · owns less than 5%
      • S••••••• J•••••• L••••• · Non-Managing Member
        since 01/2011 · owns 25% to 50% of Q••••••••• H••••••• L••
      Entity owners
      • Q••••••••• H••••••• L•• · Managing Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • L••••• A•••••••• L••
        investment advisernRAUM $271M
      • Q•• G• I•••••••• I• L••
        pooled vehicle sponsorn
      • Q••••••••• A••••••• I• L••
        investment advisery
      • Q••••••••• G• I•••••••• I• L•
        pooled vehicle sponsorn
      Advisers that list Q••••••••• G•••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 4 to 3
        Mar 31, 2019 to Mar 30, 2020
      • Pooled vehicle clients · 4 to 3
        Mar 31, 2019 to Mar 30, 2020
      • Private funds · 4 to 3
        Mar 31, 2019 to Mar 30, 2020
      • Discretionary RAUM · $225M to $185M
        Mar 31, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $225M to $185M
        Mar 31, 2019 to Mar 30, 2020
      • RAUM · $225M to $185M
        Mar 31, 2019 to Mar 30, 2020
      • Advisory employees · 4 to 2
        Dec 7, 2018 to Mar 31, 2019
      • Employees · 5 to 3
        Dec 7, 2018 to Mar 31, 2019
      • Discretionary RAUM · $303M to $225M
        Dec 7, 2018 to Mar 31, 2019
      • Pooled vehicle RAUM · $303M to $225M
        Dec 7, 2018 to Mar 31, 2019
      • RAUM · $303M to $225M
        Dec 7, 2018 to Mar 31, 2019
      • Accounts · 6 to 4
        Mar 31, 2017 to Mar 31, 2018
      • Advisory employees · 5 to 4
        Mar 31, 2017 to Mar 31, 2018
      • Charity clients · unset to 0.0
        Mar 31, 2017 to Mar 31, 2018
      • Corporate clients · unset to 0.0
        Mar 31, 2017 to Mar 31, 2018
      • HNW clients · unset to 0.0
        Mar 31, 2017 to Mar 31, 2018
      • Individual clients · unset to 0.0
        Mar 31, 2017 to Mar 31, 2018
      • Pension plan clients · unset to 0.0
        Mar 31, 2017 to Mar 31, 2018
      • Pooled vehicle clients · unset to 4.0
        Mar 31, 2017 to Mar 31, 2018
      • Employees · 6 to 5
        Mar 31, 2017 to Mar 31, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 31, 2018
      • Private funds · 8 to 4
        Mar 31, 2017 to Mar 31, 2018
      • Discretionary RAUM · $575M to $303M
        Mar 31, 2017 to Mar 31, 2018
      • HNW RAUM · unset to 0.0
        Mar 31, 2017 to Mar 31, 2018
      • Individual RAUM · unset to 0.0
        Mar 31, 2017 to Mar 31, 2018
      • Pension RAUM · unset to 0.0
        Mar 31, 2017 to Mar 31, 2018
      • Pooled vehicle RAUM · unset to 302814654.0
        Mar 31, 2017 to Mar 31, 2018
      • RAUM · $575M to $303M
        Mar 31, 2017 to Mar 31, 2018
      • Accounts · 8 to 6
        Aug 8, 2016 to Mar 31, 2017
      • Employees · 10 to 6
        Aug 8, 2016 to Mar 31, 2017
      • Discretionary RAUM · $689M to $575M
        Aug 8, 2016 to Mar 31, 2017
      • RAUM · $689M to $575M
        Aug 8, 2016 to Mar 31, 2017
      • Employees · 12 to 10
        Mar 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $913M to $689M
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $913M to $689M
        Mar 31, 2015 to Mar 30, 2016
      • Advisory employees · 7 to 5
        Mar 31, 2014 to Mar 31, 2015
      • Employees · 16 to 12
        Mar 31, 2014 to Mar 31, 2015
      • Discretionary RAUM · $1.7B to $913M
        Mar 31, 2014 to Mar 31, 2015
      • RAUM · $1.7B to $913M
        Mar 31, 2014 to Mar 31, 2015
      • Accounts · 6 to 8
        Mar 28, 2013 to Mar 31, 2014
      Signals
      1 dated events
      • Q••••••••• G•••• L•• reported RAUM $302.8M, down 47% from $575.3M (2017-03-31 to 2018-03-31)
        Mar 31, 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