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
I••••••• Q• C•••••• M••••••••• L••
Latest filing Mar 31, 2021
First filing on the tape Apr 24, 2014 · 17 filings
SEC status approved since May 6, 2014
RAUM
$2.0B
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
12
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$763M gross assets
History
17 filings and snapshots on the tape
RAUM$2.0B as of Mar 31, 2021
Mar 20, 2015$49.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2021
Mar 20, 20150 then
Employees (5.A)12 as of Mar 31, 2021
Mar 20, 20158 then
Private funds2 as of Mar 31, 2021
Mar 27, 20171 then
RAUM +27% over the last fiscal year+116% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2021; 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
- $671MderivedRAUM 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
- +27%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 businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Custody
- $740M, 2 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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
- Investment companies$1.3B62%
- Pooled investment vehicles$763M38%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $740M for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| I••••••• Q• V••••••••• A•••• F•••• L••• | Hedge Fund | $760M | 50 | Mar 27, 2017 |
| I••••••• Q• O••••••••• A•••• F•••• L••• | Hedge Fund | $3.1M | 3 | Mar 31, 2021 |
Owners and control persons
Schedule A and B, latest filing
- P•••••• L••••••• A• · Non-Executive Chairmancontrolsince 04/2014 · owns less than 5%
- V••••••••• J••••• R••••• · Chief Investment Officer & Chief Executive Officercontrolsince 04/2014 · owns less than 5%
- V••••••••• J••••• R••••• · Membercontrolsince 04/2014 · owns 75% or more of I••••••• Q• M••••••••• E•••••• L••
- L••••••• S••••• H••••• · Chief Compliance Officersince 01/2015 · owns less than 5%
Entity owners
- B•••••••• F••••• L•••••• P••••••••• · Memberdirect · owns 25% to 50%
- I••••••• Q• M••••••••• E•••••• L•• · Memberdirect · owns 50% to 75%
Related persons
Schedule D 7.A
- W•••••• C•••••• M••••••••• L••investment advisernRAUM $4.1B
Advisers that list I••••••• Q• C•••••• M••••••••• L•• as a related person
- 162178 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 4 to 3Jul 29, 2020 to Mar 31, 2021
- Advisory employees · 13 to 11Jul 29, 2020 to Mar 31, 2021
- Employees · 16 to 12Jul 29, 2020 to Mar 31, 2021
- Private funds · 1 to 2Jul 29, 2020 to Mar 31, 2021
- Discretionary RAUM · $1.6B to $2.0BJul 29, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $740M to $763MJul 29, 2020 to Mar 31, 2021
- RAUM · $1.6B to $2.0BJul 29, 2020 to Mar 31, 2021
- Accounts · 3 to 4Apr 1, 2019 to Mar 30, 2020
- Advisory activities · 2 to 3Apr 1, 2019 to Mar 30, 2020
- Assets in custody · $200M to $740MApr 1, 2019 to Mar 30, 2020
- Employees · 15 to 16Apr 1, 2019 to Mar 30, 2020
- Discretionary RAUM · $648M to $1.6BApr 1, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $200M to $740MApr 1, 2019 to Mar 30, 2020
- RAUM · $648M to $1.6BApr 1, 2019 to Mar 30, 2020
- Accounts · 2 to 3May 2, 2018 to Mar 31, 2019
- Advisory employees · 10 to 13May 2, 2018 to Mar 31, 2019
- Pooled vehicle clients · 1 to 2May 2, 2018 to Mar 31, 2019
- Assets in custody · $26.0M to $200MMay 2, 2018 to Mar 31, 2019
- Employees · 12 to 15May 2, 2018 to Mar 31, 2019
- Discretionary RAUM · $199M to $648MMay 2, 2018 to Mar 31, 2019
- Pooled vehicle RAUM · $26.0M to $200MMay 2, 2018 to Mar 31, 2019
- RAUM · $199M to $648MMay 2, 2018 to Mar 31, 2019
- Advisory employees · 12 to 10Mar 27, 2017 to Mar 29, 2018
- Pooled vehicle clients · unset to 1.0Mar 27, 2017 to Mar 29, 2018
- Assets in custody · $15.3M to $26.0MMar 27, 2017 to Mar 29, 2018
- Employees · 15 to 12Mar 27, 2017 to Mar 29, 2018
- Other offices · unset to 0.0Mar 27, 2017 to Mar 29, 2018
- Discretionary RAUM · $172M to $199MMar 27, 2017 to Mar 29, 2018
- Pooled vehicle RAUM · unset to 25997988.0Mar 27, 2017 to Mar 29, 2018
- RAUM · $172M to $199MMar 27, 2017 to Mar 29, 2018
- Accounts · 1 to 2Mar 1, 2017 to Mar 27, 2017
- Advisory employees · 10 to 12Mar 1, 2017 to Mar 27, 2017
- Advisory activities · 1 to 2Mar 1, 2017 to Mar 27, 2017
- Assets in custody · $15.0M to $15.3MMar 1, 2017 to Mar 27, 2017
- Employees · 10 to 15Mar 1, 2017 to Mar 27, 2017
- Financial planning clients · unset to 0Mar 1, 2017 to Mar 27, 2017
- Private funds · unset to 1Mar 1, 2017 to Mar 27, 2017
- Discretionary RAUM · $110M to $172MMar 1, 2017 to Mar 27, 2017
- RAUM · $110M to $172MMar 1, 2017 to Mar 27, 2017
- Assets in custody · unset to 15000000.0Mar 29, 2016 to Mar 1, 2017
Signals
4 dated events
- I••••••• Q• C•••••• M••••••••• L•• reported RAUM $2.0B, up 27% from $1.6B (2020-07-29 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- I••••••• Q• C•••••• M••••••••• L•• reported RAUM $1.6B, up 144% from $648.5M (2019-04-01 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- I••••••• Q• C•••••• M••••••••• L•• reported RAUM $648.5M, up 226% from $199.1M (2018-05-02 to 2019-03-31)Mar 31, 2019 · RAUM change · derived
- I••••••• Q• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Apr 24, 2014 · 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
- Website
- H•••://WWW.I•••••••Q.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-468-5110reportedpublic record, Form ADV, Mar 31, 2021
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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026