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

Quest Capital Strategies, Inc.

Former SEC-registered adviserLake Forest, CaliforniaCRD 16783SEC 801-77927IAPD
Latest filing Oct 24, 2019
First filing on the tape Apr 2, 2013 · 49 filings
RAUM
$23.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$23.8M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
7 advisory (5.B.1)
Offices
73
beyond the principal office
Private funds
0
reported on Schedule D
History
49 filings and snapshots on the tape
RAUM$54.6M as of Mar 29, 2019
May 5, 2014$23.4M then
HNW client RAUM$2.7M as of Mar 29, 2019
Mar 13, 2018$10.8M then
State-registered IARs (5.B.3)5 as of Mar 29, 2019
May 5, 20144 then
Employees (5.A)7 as of Mar 29, 2019
May 5, 201410 then
Private funds: no history
RAUM -57% over the last fiscal year-10% a year over threeIARs 5 to 5offices 65 to 73
Practice profile
derived from the filing of Oct 24, 2019; every figure names its basis
RAUM per advisor
$4.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
21derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$381,453derivedHNW RAUM over HNW clients
Average account
$226,603derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.4derivedItem 5.A over advisors
Advisors per office
0.1derived74 offices incl. principal (1.F.5)
RAUM growth, one year
-1.8%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-17%derived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, 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
  • is a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$14.1M59%
  • Individuals$9.7M41%
Individual clients
68reported
HNW clients
37reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
105reported
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
Joined, 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
  • Tiffany Kay Forbes · Deputy Ccocontrol
    since 07/2018 · owns less than 5%
  • Terry Shawn Traynor · Compliance Officercontrol
    since 01/2017 · owns less than 5%
  • Carolyne Tsai · Cfo, Fin Opcontrol
    since 11/2002 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 177 to 105
    Jun 23, 2019 to Oct 24, 2019
  • Advisory activities · 4 to 3
    Jun 23, 2019 to Oct 24, 2019
  • HNW clients · 17 to 37
    Jun 23, 2019 to Oct 24, 2019
  • Individual clients · 160 to 68
    Jun 23, 2019 to Oct 24, 2019
  • Commission compensation · true to false
    Jun 23, 2019 to Oct 24, 2019
  • Discretionary RAUM · $54.6M to $23.8M
    Jun 23, 2019 to Oct 24, 2019
  • HNW RAUM · $2.7M to $14.1M
    Jun 23, 2019 to Oct 24, 2019
  • Individual RAUM · $51.9M to $9.7M
    Jun 23, 2019 to Oct 24, 2019
  • RAUM · $54.6M to $23.8M
    Jun 23, 2019 to Oct 24, 2019
  • Related broker-dealer · false to true
    Jun 23, 2019 to Oct 24, 2019
  • Accounts · 212 to 177
    Jan 3, 2019 to Mar 29, 2019
  • Advisory employees · 4 to 7
    Jan 3, 2019 to Mar 29, 2019
  • BD registered reps · 5 to 7
    Jan 3, 2019 to Mar 29, 2019
  • HNW clients · 5 to 17
    Jan 3, 2019 to Mar 29, 2019
  • Individual clients · 207 to 160
    Jan 3, 2019 to Mar 29, 2019
  • Employees · 10 to 7
    Jan 3, 2019 to Mar 29, 2019
  • Insurance-licensed employees · 4 to 0
    Jan 3, 2019 to Mar 29, 2019
  • Other offices · 65 to 73
    Jan 3, 2019 to Mar 29, 2019
  • Discretionary RAUM · $55.6M to $54.6M
    Jan 3, 2019 to Mar 29, 2019
  • HNW RAUM · $10.8M to $2.7M
    Jan 3, 2019 to Mar 29, 2019
  • Individual RAUM · $44.8M to $51.9M
    Jan 3, 2019 to Mar 29, 2019
  • RAUM · $55.6M to $54.6M
    Jan 3, 2019 to Mar 29, 2019
  • Advisory employees · 2 to 4
    Sep 22, 2017 to Mar 13, 2018
  • Accounts · 190 to 212
    Sep 22, 2017 to Mar 13, 2018
  • Charity clients · unset to 0.0
    Sep 22, 2017 to Mar 13, 2018
  • Corporate clients · unset to 0.0
    Sep 22, 2017 to Mar 13, 2018
  • HNW clients · unset to 5.0
    Sep 22, 2017 to Mar 13, 2018
  • Individual clients · unset to 207.0
    Sep 22, 2017 to Mar 13, 2018
  • Pension plan clients · unset to 0.0
    Sep 22, 2017 to Mar 13, 2018
  • Pooled vehicle clients · unset to 0.0
    Sep 22, 2017 to Mar 13, 2018
  • Insurance-licensed employees · 2 to 4
    Sep 22, 2017 to Mar 13, 2018
  • Other offices · unset to 65.0
    Sep 22, 2017 to Mar 13, 2018
  • Discretionary RAUM · $30.0M to $55.6M
    Sep 22, 2017 to Mar 13, 2018
  • HNW RAUM · unset to 10847892.0
    Sep 22, 2017 to Mar 13, 2018
  • Individual RAUM · unset to 44762533.0
    Sep 22, 2017 to Mar 13, 2018
  • Non-discretionary RAUM · $5.0M to $0
    Sep 22, 2017 to Mar 13, 2018
  • RAUM · $35.0M to $55.6M
    Sep 22, 2017 to Mar 13, 2018
  • BD registered reps · 7 to 5
    Jan 3, 2017 to Feb 28, 2017
  • State-registered IARs · 4 to 5
    Jan 3, 2017 to Feb 28, 2017
  • Discretionary RAUM · $28.0M to $30.0M
    Jan 3, 2017 to Feb 28, 2017
Signals
3 dated events
  • Tiffany Kay Forbes (Deputy Cco) appeared on Schedule A of Quest Capital Strategies, Inc.
    Jun 23, 2019 · Control person joined · fact
  • Quest Capital Strategies, Inc. reported 73 offices beyond its principal office, up from 65 (2019-01-03 to 2019-03-29)
    Mar 29, 2019 · Office count change · derived
  • Quest Capital Strategies, Inc. filed its initial SEC registration (Form ADV)
    Apr 2, 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