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••• F•••••••• S••••••••• L••
Latest filing Sep 2, 2026
First filing on the tape Apr 28, 2016 · 21 filings
SEC status approved since May 19, 2016
RAUM
$429M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
6.9%
$29.6M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$429M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$429M as of Mar 5, 2026
Mar 7, 2017$97.4M then
HNW client RAUM$14.9M as of Mar 5, 2026
Mar 5, 2018$3.0M then
State-registered IARs (5.B.3)1 as of Mar 5, 2026
Mar 7, 20171 then
Employees (5.A)2 as of Mar 5, 2026
Mar 7, 20173 then
Private funds: no history
RAUM -1.1% over the last fiscal year+8.5% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Sep 2, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $429MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 127derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $707,617derivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 93%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -1.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 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)
- compensates persons for client referrals (8.G.1)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$400M93%
- High-net-worth individuals$14.9M3.5%
- Individuals$14.7M3.4%
- Individual clients
- 106reported
- HNW clients
- 21reported
- Pension plan clients
- 187reported
- Charitable clients
- 0reported
- Accounts
- 346reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.07 fund_share=0.0 institutional_share=0.93 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•••••• A•••• M••••••• | Fort Wayne, In | Apr 29, 2013 | 32 y | 3 |
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
- G•••••• A•••• M••••••• from B•• W••••• M••••••••• G•••• L••Apr 29, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••••• M•••• C•••••••• · Membercontrolsince 04/2013 · owns 50% to 75%
- M•••••••• G••••••• A•••• · Managing Member And Chief Compliance Officercontrolsince 04/2013 · owns 50% to 75%
Related persons
Schedule D 7.A
- B•••••• K•••••• • C••••••insurancen
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 0Mar 5, 2026 to Sep 2, 2026
- Succession · false to unsetMar 5, 2026 to Sep 2, 2026
- Accounts · 378 to 346Jan 3, 2025 to Mar 5, 2026
- HNW clients · 11 to 21Jan 3, 2025 to Mar 5, 2026
- Individual clients · 116 to 106Jan 3, 2025 to Mar 5, 2026
- Pension plan clients · 219 to 187Jan 3, 2025 to Mar 5, 2026
- Discretionary RAUM · $431M to $426MJan 3, 2025 to Mar 5, 2026
- HNW RAUM · $11.6M to $14.9MJan 3, 2025 to Mar 5, 2026
- Individual RAUM · $13.5M to $14.7MJan 3, 2025 to Mar 5, 2026
- Non-discretionary RAUM · $3.0M to $3.6MJan 3, 2025 to Mar 5, 2026
- Pension RAUM · $409M to $400MJan 3, 2025 to Mar 5, 2026
- RAUM · $434M to $429MJan 3, 2025 to Mar 5, 2026
- Accounts · 362 to 378Jan 5, 2024 to Jan 3, 2025
- HNW clients · 10 to 11Jan 5, 2024 to Jan 3, 2025
- Individual clients · 114 to 116Jan 5, 2024 to Jan 3, 2025
- Pension plan clients · 208 to 219Jan 5, 2024 to Jan 3, 2025
- Financial planning clients · unset to 0Jan 5, 2024 to Jan 3, 2025
- Discretionary RAUM · $364M to $431MJan 5, 2024 to Jan 3, 2025
- HNW RAUM · $8.7M to $11.6MJan 5, 2024 to Jan 3, 2025
- Individual RAUM · $13.5M to $13.5MJan 5, 2024 to Jan 3, 2025
- Non-discretionary RAUM · $2.8M to $3.0MJan 5, 2024 to Jan 3, 2025
- Pension RAUM · $344M to $409MJan 5, 2024 to Jan 3, 2025
- RAUM · $367M to $434MJan 5, 2024 to Jan 3, 2025
- Accounts · 444 to 362Mar 17, 2023 to Jan 5, 2024
- HNW clients · 11 to 10Mar 17, 2023 to Jan 5, 2024
- Pension plan clients · 203 to 208Mar 17, 2023 to Jan 5, 2024
- Employees · 3 to 2Mar 17, 2023 to Jan 5, 2024
- Discretionary RAUM · $333M to $364MMar 17, 2023 to Jan 5, 2024
- HNW RAUM · $7.5M to $8.7MMar 17, 2023 to Jan 5, 2024
- Individual RAUM · $7.2M to $13.5MMar 17, 2023 to Jan 5, 2024
- Non-discretionary RAUM · $2.7M to $2.8MMar 17, 2023 to Jan 5, 2024
- Pension RAUM · $321M to $344MMar 17, 2023 to Jan 5, 2024
- RAUM · $336M to $367MMar 17, 2023 to Jan 5, 2024
- Accounts · 418 to 444Mar 22, 2022 to Mar 17, 2023
- HNW clients · 7 to 11Mar 22, 2022 to Mar 17, 2023
- Individual clients · 115 to 114Mar 22, 2022 to Mar 17, 2023
- Pension plan clients · 190 to 203Mar 22, 2022 to Mar 17, 2023
- Discretionary RAUM · $315M to $333MMar 22, 2022 to Mar 17, 2023
- HNW RAUM · $5.7M to $7.5MMar 22, 2022 to Mar 17, 2023
- Individual RAUM · $14.2M to $7.2MMar 22, 2022 to Mar 17, 2023
Signals
2 dated events
- Q••• F•••••••• S••••••••• L•• reported RAUM $281.7M, up 58% from $178.2M (2020-01-08 to 2020-02-17)Feb 17, 2020 · RAUM change · derived
- Q••• F•••••••• S••••••••• L•• filed its initial SEC registration (Form ADV)Apr 28, 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.
How to reach
public business contact points only, each with its source
- Website
- Q•••FS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 260-328-1889reportedpublic record, Form ADV, Sep 2, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $429Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026