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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SEC-registered adviser
Q•••••• C•••••• A•••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Jul 31, 2012 · 27 filings
SEC status approved since Aug 16, 2012
RAUM
$798M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.7%
$5.7M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$399M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$798M as of Mar 26, 2026
Feb 26, 2013$84.0M then
HNW client RAUM$5.7M as of Mar 26, 2026
Mar 28, 2020$522,461 then
State-registered IARs (5.B.3)2 as of Mar 26, 2026
Feb 26, 20131 then
Employees (5.A)4 as of Mar 26, 2026
Feb 26, 20132 then
Private funds1 as of Mar 26, 2026
Feb 26, 20131 then
RAUM -15% over the last fiscal year+73% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
- RAUM per advisor
- $399MderivedRAUM 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
- $160MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $76.6M, 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
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$716M90%
- Pooled investment vehicles$76.6M9.6%
- High-net-worth individuals$5.7M0.7%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $76.6M for 1 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.01 fund_share=0.99 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G••••••• M•••••• R••••Chartered Financial Analyst | Park City, Ut | Sep 7, 2012 | 19 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- J••• J• H••••• from Q•••••• L••••• C•••••• M••••••••• L••Aug 16, 2012 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•• Q•••••• S•••••••• V•••• F•••• L• | Other Private Fund | $68.9M | 41 | May 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- H•••••• J•••• J• · Managing Member And Chief Compliance Officercontrolsince 01/2011 · owns 50% to 75%
- R••••• G•••••••• M•••••• · Membercontrolsince 01/2011 · owns 25% to 50%
Related persons
Schedule D 7.A
- Q•••••• C•••••• M••••••••• L••investment advisernRAUM $1.0B
Advisers that list Q•••••• C•••••• A•••••••• L•• as a related person
- 111083 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Park City, Ut | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 6 to 5Mar 19, 2025 to Mar 26, 2026
- Assets in custody · $79.1M to $76.6MMar 19, 2025 to Mar 26, 2026
- Discretionary RAUM · $935M to $798MMar 19, 2025 to Mar 26, 2026
- HNW RAUM · $109M to $5.7MMar 19, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $79.1M to $76.6MMar 19, 2025 to Mar 26, 2026
- RAUM · $935M to $798MMar 19, 2025 to Mar 26, 2026
- HQ city · unset to Mar 27, 2024 to Mar 19, 2025
- HQ state · unset to Mar 27, 2024 to Mar 19, 2025
- Accounts · 4 to 6Mar 27, 2024 to Mar 19, 2025
- Assets in custody · $68.9M to $79.1MMar 27, 2024 to Mar 19, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 19, 2025
- Discretionary RAUM · $194M to $935MMar 27, 2024 to Mar 19, 2025
- HNW RAUM · $98.3M to $109MMar 27, 2024 to Mar 19, 2025
- Pooled vehicle RAUM · $68.9M to $79.1MMar 27, 2024 to Mar 19, 2025
- RAUM · $194M to $935MMar 27, 2024 to Mar 19, 2025
- Assets in custody · $56.5M to $68.9MMar 22, 2023 to Mar 26, 2024
- Discretionary RAUM · $155M to $194MMar 22, 2023 to Mar 26, 2024
- HNW RAUM · $77.5M to $98.3MMar 22, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $56.5M to $68.9MMar 22, 2023 to Mar 26, 2024
- RAUM · $155M to $194MMar 22, 2023 to Mar 26, 2024
- Assets in custody · $66.2M to $56.5MApr 8, 2022 to Mar 21, 2023
- Discretionary RAUM · $178M to $155MApr 8, 2022 to Mar 21, 2023
- HNW RAUM · $91.8M to $77.5MApr 8, 2022 to Mar 21, 2023
- Pooled vehicle RAUM · $66.2M to $56.5MApr 8, 2022 to Mar 21, 2023
- RAUM · $178M to $155MApr 8, 2022 to Mar 21, 2023
- Accounts · 5 to 4Apr 6, 2021 to Mar 26, 2022
- Assets in custody · $59.6M to $66.2MApr 6, 2021 to Mar 26, 2022
- Discretionary RAUM · $142M to $178MApr 6, 2021 to Mar 26, 2022
- HNW RAUM · $70.1M to $91.8MApr 6, 2021 to Mar 26, 2022
- Pooled vehicle RAUM · $59.6M to $66.2MApr 6, 2021 to Mar 26, 2022
- RAUM · $142M to $178MApr 6, 2021 to Mar 26, 2022
- Accounts · 2 to 5Sep 9, 2020 to Mar 29, 2021
- Assets in custody · $55.0M to $59.6MSep 9, 2020 to Mar 29, 2021
- HQ city · NORTHFIELD to unsetSep 9, 2020 to Mar 29, 2021
- HQ state · NJ to unsetSep 9, 2020 to Mar 29, 2021
- Discretionary RAUM · $55.5M to $142MSep 9, 2020 to Mar 29, 2021
- HNW RAUM · $522,461 to $70.1MSep 9, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $55.0M to $59.6MSep 9, 2020 to Mar 29, 2021
- RAUM · $55.5M to $142MSep 9, 2020 to Mar 29, 2021
- Accounts · 1 to 2Jun 26, 2019 to Mar 28, 2020
Signals
2 dated events
- Q•••••• C•••••• A•••••••• L•• reported RAUM $935.2M, up 382% from $193.9M (2024-03-27 to 2025-03-19)Mar 19, 2025 · RAUM change · derived
- Q•••••• C•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Jul 31, 2012 · 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 609 677-4949reportedpublic record, Form ADV, Mar 26, 2026
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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $399Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026