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••••••••• A••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 170286SEC 801-107277IAPD
Latest filing Mar 30, 2020
First filing on the tape Jul 7, 2014 · 12 filings
RAUM
$272M
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
19
13 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$214M gross assets
History
12 filings and snapshots on the tape
RAUM$272M as of Mar 30, 2020
Mar 30, 2017$314M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Mar 30, 20170 then
Employees (5.A)19 as of Mar 30, 2020
Mar 30, 201739 then
Private funds1 as of Mar 30, 2020
Mar 30, 20172 then
RAUM -20% over the last fiscal year-4.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2020; 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
$38.8MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-20%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, selection of other advisers, otherreportedItem 5.G
Custody
$97.2M, 3 clientsreportedItem 9.A
Ownership
controlled by a public reporting companyderived
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$214M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
7reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$97.2M for 3 clientsreported
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••• M••••••••• M••••• F•••• L•••Hedge Fund$214M24Jul 26, 2016
      Q••• M••••••••• F••• L•Hedge Fund$26.4M23Jul 26, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••• G•••••• · Membercontrol
        since 05/2014 · owns less than 5%
      • G••••••• J•••• V•••••• · Membercontrol
        since 05/2014 · owns less than 5%
      • R••••••• P•••• I•••••••• · Chief Compliance Officer / Chief Financial Officercontrol
        since 05/2018 · owns less than 5%
      • G••••••• J•••• V•••••• · Managing Membercontrol
        since 01/2018 · owns 25% to 50% of Q••• M••••••••• P••••••• L••
      Entity owners
      • Q••• M••••••••• P••••••• L•• · Managing Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • BD registered reps · 1 to 0
        Apr 30, 2019 to Mar 30, 2020
      • Assets in custody · $70.0M to $97.2M
        Apr 30, 2019 to Mar 30, 2020
      • Discretionary RAUM · $342M to $272M
        Apr 30, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $242M to $214M
        Apr 30, 2019 to Mar 30, 2020
      • RAUM · $342M to $272M
        Apr 30, 2019 to Mar 30, 2020
      • Accounts · 4 to 7
        Mar 30, 2019 to Apr 30, 2019
      • Pooled vehicle clients · 3 to 6
        Mar 30, 2019 to Apr 30, 2019
      • Assets in custody · unset to 69966031.0
        Mar 30, 2019 to Apr 30, 2019
      • Custody of client assets · false to true
        Mar 30, 2019 to Apr 30, 2019
      • Private funds · 2 to 1
        Mar 30, 2019 to Apr 30, 2019
      • Discretionary RAUM · $339M to $342M
        Mar 30, 2019 to Apr 30, 2019
      • Pooled vehicle RAUM · $240M to $242M
        Mar 30, 2019 to Apr 30, 2019
      • RAUM · $339M to $342M
        Mar 30, 2019 to Apr 30, 2019
      • Accounts · 3 to 4
        Sep 27, 2018 to Mar 30, 2019
      • Advisory employees · 18 to 13
        Sep 27, 2018 to Mar 30, 2019
      • BD registered reps · 0 to 1
        Sep 27, 2018 to Mar 30, 2019
      • Pooled vehicle clients · 2 to 3
        Sep 27, 2018 to Mar 30, 2019
      • Employees · 27 to 19
        Sep 27, 2018 to Mar 30, 2019
      • Discretionary RAUM · $198M to $339M
        Sep 27, 2018 to Mar 30, 2019
      • Pooled vehicle RAUM · $102M to $240M
        Sep 27, 2018 to Mar 30, 2019
      • RAUM · $198M to $339M
        Sep 27, 2018 to Mar 30, 2019
      • Related broker-dealer · false to true
        Sep 27, 2018 to Mar 30, 2019
      • Accounts · 5 to 3
        Nov 6, 2017 to Mar 30, 2018
      • Advisory employees · 30 to 18
        Nov 6, 2017 to Mar 30, 2018
      • Advisory activities · 4 to 3
        Nov 6, 2017 to Mar 30, 2018
      • Business name · Q••• A•••• M••••••••• L• ••••••• A••••••• to Q••• C•••••• M••••••••• A••••••• L••
        Nov 6, 2017 to Mar 30, 2018
      • Pooled vehicle clients · 3 to 2
        Nov 6, 2017 to Mar 30, 2018
      • Assets in custody · 88000000.0 to unset
        Nov 6, 2017 to Mar 30, 2018
      • Custody of client assets · true to false
        Nov 6, 2017 to Mar 30, 2018
      • Employees · 39 to 27
        Nov 6, 2017 to Mar 30, 2018
      • Discretionary RAUM · $383M to $198M
        Nov 6, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · $157M to $102M
        Nov 6, 2017 to Mar 30, 2018
      • RAUM · $383M to $198M
        Nov 6, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 3.0
        Mar 30, 2017 to Nov 6, 2017
      • Assets in custody · $19.7M to $88.0M
        Mar 30, 2017 to Nov 6, 2017
      • Other offices · unset to 0.0
        Mar 30, 2017 to Nov 6, 2017
      • Discretionary RAUM · $314M to $383M
        Mar 30, 2017 to Nov 6, 2017
      • Pooled vehicle RAUM · unset to 156965773.0
        Mar 30, 2017 to Nov 6, 2017
      • RAUM · $314M to $383M
        Mar 30, 2017 to Nov 6, 2017
      • Accounts · 7 to 5
        Jul 26, 2016 to Mar 30, 2017
      Signals
      3 dated events
      • Q••• C•••••• M••••••••• A••••••• L•• reported RAUM $339.1M, up 71% from $198.1M (2018-09-27 to 2019-03-30)
        Mar 30, 2019 · RAUM change · derived
      • Q••• C•••••• M••••••••• A••••••• L•• reported RAUM $198.1M, down 48% from $382.5M (2017-11-06 to 2018-03-30)
        Mar 30, 2018 · RAUM change · derived
      • I•••••••• I• E•••••••• F••••••• • O•••••• filed its initial SEC registration (Form ADV)
        Jul 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