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••••••••• P••••••• L••
Latest filing Feb 27, 2026
First filing on the tape Feb 24, 2014 · 20 filings
SEC status approved since Mar 10, 2014
RAUM
$502M
reported, Item 5.F
Discretionary
43%
of RAUM
Private clients
21%
$104M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$167M
derived; firm RAUM over IAPD count
Employees
3
3 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$502M as of Feb 27, 2026
Mar 23, 2015$143M then
HNW client RAUM$81.4M as of Feb 27, 2026
Mar 26, 2018$19.4M then
State-registered IARs (5.B.3)3 as of Feb 27, 2026
Mar 23, 20153 then
Employees (5.A)3 as of Feb 27, 2026
Mar 23, 20153 then
Private funds: no history
RAUM +10% over the last fiscal year+9.5% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $167MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 52derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $1.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 43%derivedof RAUM
- Institutional
- 79%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$399M79%
- High-net-worth individuals$81.4M16%
- Individuals$22.1M4.4%
- Individual clients
- 111reported
- HNW clients
- 46reported
- Pension plan clients
- 48reported
- Charitable clients
- n/areported
- Accounts
- 288reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.21 fund_share=0.0 institutional_share=0.79 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• P•••••• R••••• | Charlotte, Nc | Jun 13, 2014 | 29 y | 2 |
| H•••• W••• G••••• | Charlotte, Nc | Jun 16, 2014 | 22 y | 2 |
| J••••• P•••••• L••••••• | Charlotte, Nc | Jun 16, 2014 | 35 y | 2 |
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••••• P•••••• L••••••• from M•••••••• I••••••••• I•••Jan 10, 2013 · Other
- H•••• W••• G••••• from M•••••••• I••••••••• I•••Jan 9, 2013 · Other
- R•••••• P•••••• R••••• from M•••••••• I••••••••• I•••Jan 9, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••••••• J•••••• P•••••• · Managing Member & Chief Compliance Officercontrolsince 10/2012 · owns 50% to 75%
- R•••••• R••••••• P•••••• · Membercontrolsince 03/2013 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Charlotte, Nc · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Feb 27, 2026institutional share of RAUM of 79% against a peer median of 2% (1482 comparable advisers, 100.0th percentile, 26.3 robust deviations)peers: independent wealth managers, $500M to $1B (1,482) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 277 to 288Mar 13, 2025 to Feb 27, 2026
- HNW clients · 48 to 46Mar 13, 2025 to Feb 27, 2026
- Pension plan clients · 49 to 48Mar 13, 2025 to Feb 27, 2026
- Discretionary RAUM · $204M to $217MMar 13, 2025 to Feb 27, 2026
- HNW RAUM · $64.9M to $81.4MMar 13, 2025 to Feb 27, 2026
- Individual RAUM · $18.5M to $22.1MMar 13, 2025 to Feb 27, 2026
- Non-discretionary RAUM · $251M to $285MMar 13, 2025 to Feb 27, 2026
- Pension RAUM · $371M to $399MMar 13, 2025 to Feb 27, 2026
- RAUM · $454M to $502MMar 13, 2025 to Feb 27, 2026
- Accounts · 268 to 277Mar 7, 2024 to Mar 13, 2025
- HNW clients · 46 to 48Mar 7, 2024 to Mar 13, 2025
- Individual clients · 106 to 111Mar 7, 2024 to Mar 13, 2025
- Pension plan clients · 48 to 49Mar 7, 2024 to Mar 13, 2025
- Financial planning clients · 0 to 0Mar 7, 2024 to Mar 13, 2025
- Discretionary RAUM · $177M to $204MMar 7, 2024 to Mar 13, 2025
- HNW RAUM · $54.8M to $64.9MMar 7, 2024 to Mar 13, 2025
- Individual RAUM · $17.4M to $18.5MMar 7, 2024 to Mar 13, 2025
- Non-discretionary RAUM · $231M to $251MMar 7, 2024 to Mar 13, 2025
- Pension RAUM · $336M to $371MMar 7, 2024 to Mar 13, 2025
- RAUM · $408M to $454MMar 7, 2024 to Mar 13, 2025
- Accounts · 289 to 268Mar 23, 2023 to Mar 7, 2024
- Advisory activities · 2 to 1Mar 23, 2023 to Mar 7, 2024
- HNW clients · 52 to 46Mar 23, 2023 to Mar 7, 2024
- Individual clients · 116 to 106Mar 23, 2023 to Mar 7, 2024
- Pension plan clients · 54 to 48Mar 23, 2023 to Mar 7, 2024
- Discretionary RAUM · $155M to $177MMar 23, 2023 to Mar 7, 2024
- HNW RAUM · $59.5M to $54.8MMar 23, 2023 to Mar 7, 2024
- Individual RAUM · $17.1M to $17.4MMar 23, 2023 to Mar 7, 2024
- Non-discretionary RAUM · $227M to $231MMar 23, 2023 to Mar 7, 2024
- Pension RAUM · $305M to $336MMar 23, 2023 to Mar 7, 2024
- RAUM · $382M to $408MMar 23, 2023 to Mar 7, 2024
- Accounts · 286 to 289Mar 15, 2022 to Mar 23, 2023
- HNW clients · 49 to 52Mar 15, 2022 to Mar 23, 2023
- Individual clients · 111 to 116Mar 15, 2022 to Mar 23, 2023
- Discretionary RAUM · $185M to $155MMar 15, 2022 to Mar 23, 2023
- HNW RAUM · $60.7M to $59.5MMar 15, 2022 to Mar 23, 2023
- Individual RAUM · $18.2M to $17.1MMar 15, 2022 to Mar 23, 2023
- Non-discretionary RAUM · $281M to $227MMar 15, 2022 to Mar 23, 2023
- Pension RAUM · $387M to $305MMar 15, 2022 to Mar 23, 2023
- RAUM · $466M to $382MMar 15, 2022 to Mar 23, 2023
Signals
2 dated events
- Q••••••••• P••••••• L•• reported RAUM $465.8M, up 67% from $279.3M (2021-03-18 to 2022-03-15)Mar 15, 2022 · RAUM change · derived
- Q••••••••• P••••••• L•• filed its initial SEC registration (Form ADV)Feb 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
- Business email
- c•••••••••@q•••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 888-253-3292reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 980-245-8991reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- w••.q•••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 888-253-3292reportedpublic record, Form ADV, Feb 27, 2026
- Contact form
- q•••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- q•••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $167Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026