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•••• I••••••••• A•• I••••••••
Legal name Q•••• W••••• M••••••••• I•••
Latest filing Sep 4, 2026
First filing on the tape Apr 30, 2020 · 24 filings
SEC status approved since Jun 1, 2020
RAUM
$110M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
92%
$102M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$13.8M
derived; firm RAUM over IAPD count
Employees
9
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$110M as of May 11, 2026
Mar 11, 2021$33.6M then
HNW client RAUM$21.3M as of May 11, 2026
Mar 11, 2021$2.0M then
State-registered IARs (5.B.3)8 as of May 11, 2026
Mar 11, 20216 then
Employees (5.A)9 as of May 11, 2026
Mar 11, 20216 then
Private funds: no history
RAUM +25% over the last fiscal year+37% a year over threeIARs 8 to 8
Practice profile
derived from the filing of Sep 4, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $13.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 50derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $143,154derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 6.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 4.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, 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)
- 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
- Individuals$80.7M73%
- High-net-worth individuals$21.3M19%
- Pension and profit-sharing plans$6.6M6.0%
- Corporations and businesses$876,5320.8%
- Charitable organizations$753,6010.7%
- Individual clients
- 386reported
- HNW clients
- 11reported
- Pension plan clients
- 9reported
- Charitable clients
- 1reported
- Accounts
- 771reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••• R•••••• Q••••Certified Financial Planner | Wappingers Falls, Ny | May 26, 2016 | 25 y | 1 |
| N•••• A• C•••••Certified Financial Planner | Wappingers Falls, Ny | Mar 4, 2021 | 11 y | 0 |
| W•••••• J• P••• | Wappingers Falls, Ny | Sep 14, 2021 | 18 y | 1 |
| D••••• J• G•••••• | Wappingers Falls, Ny | Sep 14, 2021 | 23 y | 1 |
| J••••• F•••••• C••••••••• | Wappingers Falls, Ny | Jan 26, 2023 | 31 y | 2 |
| D•••• M•••••• Z•••••••••Certified Financial Planner | Wappingers Falls, Ny | Mar 8, 2023 | 14 y | 0 |
| D•••• J••• D••••• | Wappingers Falls, Ny | Oct 22, 2024 | 16 y | 0 |
| J•••• K••••• | Wappingers Falls, Ny | Nov 28, 2025 | 22 y | 0 |
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••••• F•••••• C••••••••• from F•••••••• S••••••• C••••• A•••• M••••••••• I•••Jan 26, 2023 · Other
- D••••• J• G•••••• from C•••••• G•••• • C• I••Sep 14, 2021 · Other
- W•••••• J• P••• from S••••••• I••••••••• I•••Sep 14, 2021 · Other
- W•••• R•••••• Q•••• from F•••••••• S••••••• C••••• A•••• M••••••••• I•••May 26, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Q••••• W••••• R•••••• · President And Chief Compliance Officercontrolsince 07/2013 · owns 75% or more
Related persons
Schedule D 7.A
- Q•••• R••• M••••••••• I•••real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Wappingers Falls, Ny · principal | 8 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Poughkeepsie, NY1 employees
What changed
consecutive filings, newest first
- Financial planning clients · 1-10 to 1-10May 11, 2026 to Sep 4, 2026
- Succession · false to unsetMay 11, 2026 to Sep 4, 2026
- Discretionary RAUM · $95.1M to $104MMar 10, 2026 to May 11, 2026
- HNW RAUM · $19.8M to $21.3MMar 10, 2026 to May 11, 2026
- Individual RAUM · $73.8M to $80.7MMar 10, 2026 to May 11, 2026
- Non-discretionary RAUM · $6.3M to $6.8MMar 10, 2026 to May 11, 2026
- Pension RAUM · $6.2M to $6.6MMar 10, 2026 to May 11, 2026
- RAUM · $101M to $110MMar 10, 2026 to May 11, 2026
- Accounts · 709 to 771Jan 13, 2026 to Mar 10, 2026
- Corporate clients · 0 to 4Jan 13, 2026 to Mar 10, 2026
- HNW clients · 8 to 11Jan 13, 2026 to Mar 10, 2026
- Individual clients · 371 to 386Jan 13, 2026 to Mar 10, 2026
- Pension plan clients · 10 to 9Jan 13, 2026 to Mar 10, 2026
- Discretionary RAUM · $81.2M to $95.1MJan 13, 2026 to Mar 10, 2026
- HNW RAUM · $15.0M to $19.8MJan 13, 2026 to Mar 10, 2026
- Individual RAUM · $66.5M to $73.8MJan 13, 2026 to Mar 10, 2026
- Non-discretionary RAUM · $7.3M to $6.3MJan 13, 2026 to Mar 10, 2026
- Pension RAUM · $6.3M to $6.2MJan 13, 2026 to Mar 10, 2026
- RAUM · $88.5M to $101MJan 13, 2026 to Mar 10, 2026
- Advisory employees · 7 to 8Oct 2, 2025 to Jan 13, 2026
- Employees · 8 to 9Oct 2, 2025 to Jan 13, 2026
- State-registered IARs · 7 to 8Oct 2, 2025 to Jan 13, 2026
- Advisory employees · 8 to 7Mar 14, 2025 to Jun 25, 2025
- Employees · 9 to 8Mar 14, 2025 to Jun 25, 2025
- Financial planning clients · 1-10 to 1-10Mar 14, 2025 to Jun 25, 2025
- State-registered IARs · 8 to 7Mar 14, 2025 to Jun 25, 2025
- Accounts · 338 to 709Oct 22, 2024 to Mar 14, 2025
- HNW clients · 2 to 8Oct 22, 2024 to Mar 14, 2025
- Individual clients · 326 to 371Oct 22, 2024 to Mar 14, 2025
- Discretionary RAUM · $51.1M to $81.2MOct 22, 2024 to Mar 14, 2025
- HNW RAUM · $5.2M to $15.0MOct 22, 2024 to Mar 14, 2025
- Individual RAUM · $45.4M to $66.5MOct 22, 2024 to Mar 14, 2025
- Non-discretionary RAUM · $4.9M to $7.3MOct 22, 2024 to Mar 14, 2025
- Pension RAUM · $4.7M to $6.3MOct 22, 2024 to Mar 14, 2025
- RAUM · $56.0M to $88.5MOct 22, 2024 to Mar 14, 2025
- Advisory employees · 7 to 8Oct 7, 2024 to Oct 22, 2024
- Employees · 8 to 9Oct 7, 2024 to Oct 22, 2024
- State-registered IARs · 7 to 8Oct 7, 2024 to Oct 22, 2024
- Advisory employees · 6 to 7Mar 18, 2024 to Oct 7, 2024
- Employees · 7 to 8Mar 18, 2024 to Oct 7, 2024
Signals
1 dated events
- Q•••• I••••••••• A•• I•••••••• filed its initial SEC registration (Form ADV)Apr 30, 2020 · 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
- i•••@q••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 845-230-3108reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 845-345-3628reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 845-706-7622reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- Q••••II.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 845-345-3628reportedpublic record, Form ADV, Sep 4, 2026
- Team page
- q••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $13.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026