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.

Former SEC-registered adviser

Avellino Financial Advisors, Inc.

Former SEC-registered adviserHillside, IllinoisCRD 164805SEC 801-107924IAPD
Legal name Algonquin Financial Adv, Inc. D/B/A Avellino Financial Adv, Inc.
Latest filing Jun 30, 2021
First filing on the tape May 27, 2016 · 18 filings
RAUM
$9.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$9.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$9.0M as of Jun 30, 2021
Feb 7, 2017$12.4M then
HNW client RAUM: $18.4M
State-registered IARs (5.B.3)2 as of Jun 30, 2021
Feb 7, 201710 then
Employees (5.A)3 as of Jun 30, 2021
Feb 7, 201710 then
Private funds: no history
RAUM n/a over the last fiscal year-30% a year over three
Practice profile
derived from the filing of Jun 30, 2021; every figure names its basis
RAUM per advisor
$4.5MderivedRAUM 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
$900,000derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$9.0M100%
Individual clients
10reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
0reported
Accounts
10reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Fitzgerald Michael Dunne · Registered Principal/Ccocontrol
      since 08/2013 · owns less than 5%
    • Fitzgerald Michael Dunne · Shareholdercontrol
      since 03/2012 · owns 75% or more of Quegh Ke, Inc
    • Thomas Nicholas Avello · Corporate Secretary
      since 05/2019 · owns less than 5%
    Entity owners
    • Native Tribal Alliance, LLC · Sole Shareholder
      direct · owns 75% or more
    • Quegh Ke, Inc. · Shareholder
      indirect · owns 50% to 75% of Native Tribal Alliance, LLC
    • Worlds Best Holding Company · Shareholder
      indirect · owns 25% to 50% of Native Tribal Alliance, LLC
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 49 to 10
      Oct 5, 2020 to Jun 30, 2021
    • Charity clients · 1 to 0
      Oct 5, 2020 to Jun 30, 2021
    • Individual clients · 31 to 10
      Oct 5, 2020 to Jun 30, 2021
    • Discretionary RAUM · $12.2M to $9.0M
      Oct 5, 2020 to Jun 30, 2021
    • RAUM · $12.2M to $9.0M
      Oct 5, 2020 to Jun 30, 2021
    • Advisory employees · 4 to 2
      Jul 1, 2019 to Oct 5, 2020
    • BD registered reps · 4 to 0
      Jul 1, 2019 to Oct 5, 2020
    • Employees · 4 to 3
      Jul 1, 2019 to Oct 5, 2020
    • State-registered IARs · 4 to 2
      Jul 1, 2019 to Oct 5, 2020
    • Other offices · 4 to 0
      Jul 1, 2019 to Oct 5, 2020
    • Accounts · 65 to 49
      Jun 3, 2019 to Jul 1, 2019
    • Advisory employees · 5 to 4
      Jun 3, 2019 to Jul 1, 2019
    • BD registered reps · 5 to 4
      Jun 3, 2019 to Jul 1, 2019
    • Charity clients · unset to 1.0
      Jun 3, 2019 to Jul 1, 2019
    • HNW clients · 13.0 to unset
      Jun 3, 2019 to Jul 1, 2019
    • Individual clients · 50 to 31
      Jun 3, 2019 to Jul 1, 2019
    • Employees · 5 to 4
      Jun 3, 2019 to Jul 1, 2019
    • Insurance-licensed employees · 0 to 1
      Jun 3, 2019 to Jul 1, 2019
    • Financial planning clients · 1-10 to 0
      Jun 3, 2019 to Jul 1, 2019
    • State-registered IARs · 5 to 4
      Jun 3, 2019 to Jul 1, 2019
    • Discretionary RAUM · $26.6M to $12.2M
      Jun 3, 2019 to Jul 1, 2019
    • HNW RAUM · 18368228.0 to unset
      Jun 3, 2019 to Jul 1, 2019
    • Individual RAUM · $8.2M to $9.0M
      Jun 3, 2019 to Jul 1, 2019
    • RAUM · $26.6M to $12.2M
      Jun 3, 2019 to Jul 1, 2019
    • HQ city · CHICAGO to HILLSIDE
      Jul 18, 2018 to Jan 2, 2019
    • Accounts · 91 to 65
      Oct 9, 2017 to Jun 28, 2018
    • Advisory employees · 8 to 5
      Oct 9, 2017 to Jun 28, 2018
    • BD registered reps · 10 to 5
      Oct 9, 2017 to Jun 28, 2018
    • HNW clients · 11 to 13
      Oct 9, 2017 to Jun 28, 2018
    • Individual clients · 80 to 50
      Oct 9, 2017 to Jun 28, 2018
    • Employees · 12 to 5
      Oct 9, 2017 to Jun 28, 2018
    • State-registered IARs · 10 to 5
      Oct 9, 2017 to Jun 28, 2018
    • Other offices · 3 to 4
      Oct 9, 2017 to Jun 28, 2018
    • Discretionary RAUM · $28.9M to $26.6M
      Oct 9, 2017 to Jun 28, 2018
    • HNW RAUM · $19.1M to $18.4M
      Oct 9, 2017 to Jun 28, 2018
    • Individual RAUM · $10.8M to $8.2M
      Oct 9, 2017 to Jun 28, 2018
    • RAUM · $28.9M to $26.6M
      Oct 9, 2017 to Jun 28, 2018
    • Accounts · 67 to 91
      Jun 26, 2017 to Oct 9, 2017
    • Advisory employees · 6 to 8
      Jun 26, 2017 to Oct 9, 2017
    • BD registered reps · 2 to 10
      Jun 26, 2017 to Oct 9, 2017
    Signals
    1 dated events
    • Avellino Financial Advisors, Inc. filed its initial SEC registration (Form ADV)
      May 27, 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