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•••••• A•••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 164737SEC 801-77554IAPD
Latest filing Mar 30, 2018
First filing on the tape Jan 7, 2013 · 8 filings
RAUM
$940M
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
8
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$296M gross assets
History
8 filings and snapshots on the tape
RAUM$940M as of Mar 30, 2018
Mar 26, 2013$197M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2018
Mar 26, 20130 then
Employees (5.A)8 as of Mar 30, 2018
Mar 26, 20135 then
Private funds2 as of Mar 30, 2018
Mar 26, 20131 then
RAUM -43% over the last fiscal year-8.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2018; 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
$134MderivedRAUM 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
-43%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
Custody
$416M, 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
  • 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)
  • 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)
  • 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$940M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
7reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$416M for 2 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Q•••••• M••••• F•••• L•••Hedge Fund$296M40Sep 26, 2012
      Q•• C•• M•••••• L•Hedge Fund$00Mar 30, 2018
      Owners and control persons
      Schedule A and B, latest filing
      • H•••• K••••••• K•••••• · Chief Investment Officer And Managing Membercontrol
        since 07/2012 · owns 75% or more
      • M•••• J••••••• D•••••• · Chief Financial Officer And Chief Compliance Officercontrol
        since 07/2012 · owns less than 5%
      • Z•••••• V•• · Portfolio Manager And Managing Membercontrol
        since 07/2012 · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • Q•••••• C•••••• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 4 to 7
        Mar 28, 2017 to Mar 30, 2018
      • Advisory employees · 5 to 4
        Mar 28, 2017 to Mar 30, 2018
      • Charity clients · unset to 0.0
        Mar 28, 2017 to Mar 30, 2018
      • Corporate clients · unset to 0.0
        Mar 28, 2017 to Mar 30, 2018
      • HNW clients · unset to 0.0
        Mar 28, 2017 to Mar 30, 2018
      • Individual clients · unset to 0.0
        Mar 28, 2017 to Mar 30, 2018
      • Pension plan clients · unset to 0.0
        Mar 28, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 7.0
        Mar 28, 2017 to Mar 30, 2018
      • Assets in custody · $1.1B to $416M
        Mar 28, 2017 to Mar 30, 2018
      • Employees · 9 to 8
        Mar 28, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Mar 28, 2017 to Mar 30, 2018
      • Private funds · 1 to 2
        Mar 28, 2017 to Mar 30, 2018
      • Discretionary RAUM · $1.6B to $940M
        Mar 28, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 939772752.0
        Mar 28, 2017 to Mar 30, 2018
      • RAUM · $1.6B to $940M
        Mar 28, 2017 to Mar 30, 2018
      • Related adviser · true to false
        Mar 28, 2017 to Mar 30, 2018
      • Advisory employees · 4 to 5
        Mar 24, 2016 to Mar 28, 2017
      • Assets in custody · $800M to $1.1B
        Mar 24, 2016 to Mar 28, 2017
      • Employees · 8 to 9
        Mar 24, 2016 to Mar 28, 2017
      • Discretionary RAUM · $1.1B to $1.6B
        Mar 24, 2016 to Mar 28, 2017
      • RAUM · $1.1B to $1.6B
        Mar 24, 2016 to Mar 28, 2017
      • Assets in custody · $890M to $800M
        Mar 18, 2015 to Mar 24, 2016
      • Employees · 7 to 8
        Mar 18, 2015 to Mar 24, 2016
      • Discretionary RAUM · $1.2B to $1.1B
        Mar 18, 2015 to Mar 24, 2016
      • RAUM · $1.2B to $1.1B
        Mar 18, 2015 to Mar 24, 2016
      • Assets in custody · $448M to $890M
        Apr 17, 2014 to Mar 18, 2015
      • Employees · 6 to 7
        Apr 17, 2014 to Mar 18, 2015
      • Discretionary RAUM · $579M to $1.2B
        Apr 17, 2014 to Mar 18, 2015
      • RAUM · $579M to $1.2B
        Apr 17, 2014 to Mar 18, 2015
      • Related bank · false to true
        Apr 17, 2014 to Mar 18, 2015
      • Assets in custody · $325M to $448M
        Feb 27, 2014 to Apr 17, 2014
      • Discretionary RAUM · $412M to $579M
        Feb 27, 2014 to Apr 17, 2014
      • RAUM · $412M to $579M
        Feb 27, 2014 to Apr 17, 2014
      • Assets in custody · $171M to $325M
        Mar 26, 2013 to Feb 27, 2014
      • Employees · 5 to 6
        Mar 26, 2013 to Feb 27, 2014
      • Discretionary RAUM · $197M to $412M
        Mar 26, 2013 to Feb 27, 2014
      • RAUM · $197M to $412M
        Mar 26, 2013 to Feb 27, 2014
      • Assets in custody · unset to 171127000.0
        Jan 7, 2013 to Mar 26, 2013
      • Custody of client assets · false to true
        Jan 7, 2013 to Mar 26, 2013
      • Private funds · 2 to 1
        Jan 7, 2013 to Mar 26, 2013
      Signals
      2 dated events
      • Q•••••• A•••• M••••••••• L•• reported RAUM $939.8M, down 43% from $1.6B (2017-03-28 to 2018-03-30)
        Mar 30, 2018 · RAUM change · derived
      • Q•••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Jan 7, 2013 · 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