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••••• F•••••• S•

Former SEC-registered adviserGeneva, CRD 161725SEC 801-74591IAPD
Latest filing Dec 14, 2023
First filing on the tape Mar 13, 2012 · 20 filings
RAUM
$19.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
12%
$2.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$19.0M as of Mar 29, 2023
Mar 27, 2013$380M then
HNW client RAUM$2.3M as of Mar 29, 2023
Mar 26, 2018$125M then
State-registered IARs (5.B.3)0 as of Mar 29, 2023
Mar 27, 20130 then
Employees (5.A)4 as of Mar 29, 2023
Mar 27, 20138 then
Private funds: no history
RAUM -90% over the last fiscal year-54% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Dec 14, 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
$6.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
88%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
-90%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 assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Insurance companies$16.8M88%
  • High-net-worth individuals$2.3M12%
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
noreported
Compensation
% of AUMreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • L•••••••• S•••••• · Chief Compliance Officercontrol
        since 12/2023 · owns less than 5%
      • M•••••• F•••••••• E•••••• · Executive Officercontrol
        since 01/2022 · owns 75% or more
      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
      • Accounts · 43 to 3
        Mar 29, 2022 to Mar 29, 2023
      • Advisory employees · 1 to 2
        Mar 29, 2022 to Mar 29, 2023
      • HNW clients · 31.0 to unset
        Mar 29, 2022 to Mar 29, 2023
      • Employees · 8 to 4
        Mar 29, 2022 to Mar 29, 2023
      • Discretionary RAUM · $20.2M to $19.0M
        Mar 29, 2022 to Mar 29, 2023
      • HNW RAUM · $113M to $2.3M
        Mar 29, 2022 to Mar 29, 2023
      • Non-discretionary RAUM · $171M to $0
        Mar 29, 2022 to Mar 29, 2023
      • RAUM · $191M to $19.0M
        Mar 29, 2022 to Mar 29, 2023
      • Accounts · 41 to 43
        Mar 19, 2021 to Mar 29, 2022
      • HNW clients · 36 to 31
        Mar 19, 2021 to Mar 29, 2022
      • Employees · 2 to 8
        Mar 19, 2021 to Mar 29, 2022
      • Discretionary RAUM · $147M to $20.2M
        Mar 19, 2021 to Mar 29, 2022
      • HNW RAUM · $113M to $113M
        Mar 19, 2021 to Mar 29, 2022
      • Non-discretionary RAUM · $65.6M to $171M
        Mar 19, 2021 to Mar 29, 2022
      • RAUM · $212M to $191M
        Mar 19, 2021 to Mar 29, 2022
      • Discretionary RAUM · $66.3M to $147M
        Jun 4, 2020 to Mar 19, 2021
      • HNW RAUM · $134M to $113M
        Jun 4, 2020 to Mar 19, 2021
      • Non-discretionary RAUM · $130M to $65.6M
        Jun 4, 2020 to Mar 19, 2021
      • RAUM · $197M to $212M
        Jun 4, 2020 to Mar 19, 2021
      • Accounts · 48 to 41
        Mar 20, 2019 to Mar 24, 2020
      • HNW clients · 43 to 36
        Mar 20, 2019 to Mar 24, 2020
      • Employees · 7 to 2
        Mar 20, 2019 to Mar 24, 2020
      • Financial planning clients · 0 to unset
        Mar 20, 2019 to Mar 24, 2020
      • Discretionary RAUM · $83.7M to $66.3M
        Mar 20, 2019 to Mar 24, 2020
      • HNW RAUM · $130M to $134M
        Mar 20, 2019 to Mar 24, 2020
      • Non-discretionary RAUM · $100M to $130M
        Mar 20, 2019 to Mar 24, 2020
      • RAUM · $184M to $197M
        Mar 20, 2019 to Mar 24, 2020
      • Accounts · 49 to 48
        Mar 26, 2018 to Mar 20, 2019
      • HNW clients · 46 to 43
        Mar 26, 2018 to Mar 20, 2019
      • Employees · 5 to 7
        Mar 26, 2018 to Mar 20, 2019
      • Discretionary RAUM · $89.2M to $83.7M
        Mar 26, 2018 to Mar 20, 2019
      • HNW RAUM · $125M to $130M
        Mar 26, 2018 to Mar 20, 2019
      • Individual RAUM · 320069.0 to unset
        Mar 26, 2018 to Mar 20, 2019
      • Non-discretionary RAUM · $58.6M to $100M
        Mar 26, 2018 to Mar 20, 2019
      • RAUM · $148M to $184M
        Mar 26, 2018 to Mar 20, 2019
      • Accounts · 54 to 49
        Mar 28, 2017 to Mar 26, 2018
      • HNW clients · unset to 46.0
        Mar 28, 2017 to Mar 26, 2018
      • Employees · 8 to 5
        Mar 28, 2017 to Mar 26, 2018
      • Other offices · unset to 0.0
        Mar 28, 2017 to Mar 26, 2018
      • Discretionary RAUM · $72.3M to $89.2M
        Mar 28, 2017 to Mar 26, 2018
      Signals
      5 dated events
      • Souriya Luangraj (Chief Compliance Officer) appeared on Schedule A of Q••••• F•••••• S•
        Dec 14, 2023 · Control person joined · fact
      • Edouard J••• D••••••••• (Chief Compliance Officer) no longer on Schedule A of Q••••• F•••••• S• (listed 2023-04-25, absent 2023-04-26)
        Apr 26, 2023 · Control person left · inference
      • Edouard Francois Mauron (Executive Officer) appeared on Schedule A of Q••••• F•••••• S•
        Apr 26, 2023 · Control person joined · fact
      • Q••••• F•••••• S• reported RAUM $19.0M, down 90% from $190.8M (2022-03-29 to 2023-03-29)
        Mar 29, 2023 · RAUM change · derived
      • J••• D••••••••• (Chief Compliance Officer) appeared on Schedule A of Q••••• F•••••• S•
        Mar 29, 2023 · Control person joined · 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