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•••• G••••• C•••••• A•••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 167753SEC 801-78066IAPD
Latest filing Mar 28, 2016
First filing on the tape May 9, 2013 · 9 filings
RAUM
$34.5M
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
4
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$34.5M gross assets
History
9 filings and snapshots on the tape
RAUM$156M as of Mar 31, 2015
Mar 13, 2014$110M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2015
Mar 13, 20140 then
Employees (5.A)4 as of Mar 31, 2015
Mar 13, 20144 then
Private funds1 as of Mar 31, 2015
Mar 13, 20141 then
RAUM -69% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2016; 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
$34.5MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+42%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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•••• A•••• P•••••••• L•Hedge Fund$14.8M1Nov 1, 2016
      Q•••• A•••• T••••••• F•••• L•Hedge Fund$4.8M3Sep 26, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • Q••• H•••••• · Managing Member, Chief Compliance Officercontrol
        since 01/2012 · owns 50% to 75%
      • X•• F•••• · Membercontrol
        since 01/2013 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Shanghai, China
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $156M to $34.5M
        Mar 31, 2015 to Mar 28, 2016
      • RAUM · $156M to $34.5M
        Mar 31, 2015 to Mar 28, 2016
      • Accounts · 3 to 1
        Jul 10, 2014 to Mar 31, 2015
      • Discretionary RAUM · $110M to $156M
        Jul 10, 2014 to Mar 31, 2015
      • RAUM · $110M to $156M
        Jul 10, 2014 to Mar 31, 2015
      • Discretionary RAUM · $212M to $110M
        Sep 26, 2013 to Mar 13, 2014
      • RAUM · $212M to $110M
        Sep 26, 2013 to Mar 13, 2014
      • Private funds · unset to 1
        Sep 19, 2013 to Sep 26, 2013
      • Advisory activities · 2 to 3
        May 15, 2013 to Sep 19, 2013
      • Discretionary RAUM · $14.0M to $212M
        May 15, 2013 to Sep 19, 2013
      • RAUM · $14.0M to $212M
        May 15, 2013 to Sep 19, 2013
      • Accounts · 2 to 3
        May 9, 2013 to May 10, 2013
      • Discretionary RAUM · $9.0M to $14.0M
        May 9, 2013 to May 10, 2013
      • RAUM · $9.0M to $14.0M
        May 9, 2013 to May 10, 2013
      Signals
      1 dated events
      • Q•••• G••••• C•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
        May 9, 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