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Former SEC-registered adviser

Q•••• G••••• A•••••••• L••

Former SEC-registered adviserGreenwich, ConnecticutCRD 161599SEC 801-108511IAPD
Latest filing Mar 30, 2017
First filing on the tape Oct 5, 2016 · 3 filings
RAUM
$118M
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
5
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$118M gross assets
History
3 filings and snapshots on the tape
RAUM$118M as of Mar 30, 2017
Oct 5, 2016$111M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2017
Oct 5, 20160 then
Employees (5.A)5 as of Mar 30, 2017
Oct 5, 20165 then
Private funds2 as of Mar 30, 2017
Oct 5, 20164 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 30, 2017; 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
$39.3MderivedRAUM 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
unknownderivedbetween 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
Custody
$69.0M, 1 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
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
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$69.0M for 1 clientsreported
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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Q•••• G••••• C••••••••• M••••• F••• L••Hedge Fund$69.0M10Mar 30, 2012
      Q•••• C••••••••• A••••••• R••••• U•••• F•••Other Private Fund$48.8M110Oct 5, 2016
      Q•••• ••••••• F••• L••no longer reportedHedge Fund$47.7M5Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••• F••••• F••••• · Managing Membercontrol
        since 05/1999 · owns 50% to 75%
      • D•••••• J••••• F•••••• · Managing Membercontrol
        since 05/1999 · owns 50% to 75%
      • H•••••• E•••••• F•••••• · Chief Operating Officer, Chief Compliance Officer
        since 01/2016 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $72.4M to $69.0M
        Oct 13, 2016 to Mar 30, 2017
      • Discretionary RAUM · $111M to $118M
        Oct 13, 2016 to Mar 30, 2017
      • RAUM · $111M to $118M
        Oct 13, 2016 to Mar 30, 2017
      • Private funds · 4 to 2
        Oct 5, 2016 to Oct 13, 2016
      Signals
      1 dated events
      • Q•••• G••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
        Oct 5, 2016 · 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.
      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