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••••••••• C•••••• M••••••••• L••

Former SEC-registered adviserLondon, CRD 170257SEC 801-79356IAPD
Latest filing Jan 14, 2019
First filing on the tape Mar 7, 2014 · 8 filings
RAUM
$335M
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
7
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$335M as of Jan 14, 2019
Mar 10, 2015$194M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 14, 2019
Mar 10, 20150 then
Employees (5.A)7 as of Jan 14, 2019
Mar 10, 201512 then
Private funds1 as of Feb 3, 2016
Mar 10, 20151 then
RAUM -21% over the last fiscal year-17% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 14, 2019; 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
$41.9MderivedRAUM 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
-21%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 pooled vehicles, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$316M94%
  • Pooled investment vehicles$19.5M5.8%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
8reported
Financial planning clients
n/areported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Q••••••••• M•••• S••••••• F•••no longer reportedHedge Fund$147M18Mar 7, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • F•••••• J••••• D••••• · Ceo / Ciocontrol
        since 03/2003 · owns 25% to 50%
      • G•••••• K•••• · Developer & Partnercontrol
        since 04/2018 · owns 5% to 10%
      • G••••• R••••• A•••••••• · Coo / Cfocontrol
        since 08/2016 · owns 5% to 10%
      • I••••••• H•••• · Researcher & Partnercontrol
        since 04/2018 · owns 5% to 10%
      • S•••• M•••••• · Ciocontrol
        since 03/2003 · owns 25% to 50%
      • F•••••• J••••• D••••• · Directorcontrol
        since 03/2003 · owns 50% to 75% of Q••••••••• L••••••
      • S•••• M•••••• · Directorcontrol
        since 03/2003 · owns 50% to 75% of Q••••••••• L••••••
      • F•••••• J•••• D••••• · Partner
        since 03/2003 · owns less than 5%
      Entity owners
      • Q••••••••• L•••••• · Partner
        direct · owns 10% to 25%
      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
      • Employees · 8 to 7
        Feb 27, 2018 to Jan 14, 2019
      • Discretionary RAUM · $427M to $335M
        Feb 27, 2018 to Jan 14, 2019
      • Pooled vehicle RAUM · $28.6M to $19.5M
        Feb 27, 2018 to Jan 14, 2019
      • RAUM · $427M to $335M
        Feb 27, 2018 to Jan 14, 2019
      • Accounts · unset to 8.0
        Jan 30, 2017 to Feb 27, 2018
      • Advisory activities · 3 to 2
        Jan 30, 2017 to Feb 27, 2018
      • Pooled vehicle clients · unset to 1.0
        Jan 30, 2017 to Feb 27, 2018
      • Employees · 9 to 8
        Jan 30, 2017 to Feb 27, 2018
      • Other offices · unset to 1.0
        Jan 30, 2017 to Feb 27, 2018
      • Discretionary RAUM · unset to 426726967.0
        Jan 30, 2017 to Feb 27, 2018
      • Non-discretionary RAUM · unset to 0.0
        Jan 30, 2017 to Feb 27, 2018
      • Pooled vehicle RAUM · unset to 28642147.0
        Jan 30, 2017 to Feb 27, 2018
      • RAUM · unset to 426726967.0
        Jan 30, 2017 to Feb 27, 2018
      • Accounts · 10.0 to unset
        Feb 3, 2016 to Jan 30, 2017
      • Advisory employees · 13 to 5
        Feb 3, 2016 to Jan 30, 2017
      • Employees · 19 to 9
        Feb 3, 2016 to Jan 30, 2017
      • Private funds · 1 to unset
        Feb 3, 2016 to Jan 30, 2017
      • Discretionary RAUM · 576366164.0 to unset
        Feb 3, 2016 to Jan 30, 2017
      • Non-discretionary RAUM · 0.0 to unset
        Feb 3, 2016 to Jan 30, 2017
      • RAUM · 576366164.0 to unset
        Feb 3, 2016 to Jan 30, 2017
      • Accounts · 7 to 10
        Mar 10, 2015 to Feb 3, 2016
      • Advisory employees · 6 to 13
        Mar 10, 2015 to Feb 3, 2016
      • Employees · 12 to 19
        Mar 10, 2015 to Feb 3, 2016
      • Discretionary RAUM · $194M to $576M
        Mar 10, 2015 to Feb 3, 2016
      • RAUM · $194M to $576M
        Mar 10, 2015 to Feb 3, 2016
      • Accounts · 4 to 7
        Mar 26, 2014 to Mar 10, 2015
      • Advisory employees · 8 to 6
        Mar 26, 2014 to Mar 10, 2015
      • Advisory activities · 2 to 3
        Mar 26, 2014 to Mar 10, 2015
      • Employees · 13 to 12
        Mar 26, 2014 to Mar 10, 2015
      • Discretionary RAUM · $146M to $194M
        Mar 26, 2014 to Mar 10, 2015
      • RAUM · $146M to $194M
        Mar 26, 2014 to Mar 10, 2015
      Signals
      3 dated events
      • H•••• I•••••• (Researcher & Partner) appeared on Schedule A of Q••••••••• C•••••• M••••••••• L••
        Jan 14, 2019 · Control person joined · fact
      • K•••• G••••• (Developer & Partner) appeared on Schedule A of Q••••••••• C•••••• M••••••••• L••
        Jan 14, 2019 · Control person joined · fact
      • Q••••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Mar 7, 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.
      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