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

W••••• Q•••• P•••••••• I•••

Former SEC-registered adviserSan Diego, CaliforniaCRD 173545SEC 801-120879IAPD
Latest filing Mar 22, 2021
First filing on the tape Dec 12, 2014 · 16 filings
RAUM
$107M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$100M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$99.4M as of Mar 31, 2020
Mar 30, 2015$186M then
HNW client RAUM$77.1M as of Mar 31, 2020
Mar 27, 2018$201M then
State-registered IARs (5.B.3)3 as of Mar 31, 2020
Mar 30, 20153 then
Employees (5.A)5 as of Mar 31, 2020
Mar 30, 20155 then
Private funds: no history
RAUM n/a over the last fiscal year-23% a year over three
Practice profile
derived from the filing of Mar 22, 2021; every figure names its basis
RAUM per advisor
$35.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
41derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.9MderivedHNW RAUM over HNW clients
Average account
$358,889derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
5.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, educational seminarsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$78.2M73%
  • Individuals$22.2M21%
  • Charitable organizations$5.7M5.4%
  • Pension and profit-sharing plans$380,9610.4%
  • Corporations and businesses$4,2210.0%
Individual clients
82reported
HNW clients
41reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
297reported
Financial planning clients
11-25reported
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
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
  • D•••••••• R•••• P••• · President / Chief Compliance Officercontrol
    since 03/2016 · owns 25% to 50%
  • H•••••••• J•••••• P••••••• · Vice President / Chief Financial Officercontrol
    since 09/2014 · owns 25% to 50%
  • B••••• M•••••• W•••••• · Secretary
    since 09/2019 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list W••••• Q•••• P•••••••• I••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 287 to 297
    Jun 25, 2020 to Mar 22, 2021
  • HNW clients · 42 to 41
    Jun 25, 2020 to Mar 22, 2021
  • Individual clients · 71 to 82
    Jun 25, 2020 to Mar 22, 2021
  • Employees · 5 to 3
    Jun 25, 2020 to Mar 22, 2021
  • Discretionary RAUM · $99.4M to $107M
    Jun 25, 2020 to Mar 22, 2021
  • HNW RAUM · $77.1M to $78.2M
    Jun 25, 2020 to Mar 22, 2021
  • Individual RAUM · $17.8M to $22.2M
    Jun 25, 2020 to Mar 22, 2021
  • Pension RAUM · $324,001 to $380,961
    Jun 25, 2020 to Mar 22, 2021
  • RAUM · $99.4M to $107M
    Jun 25, 2020 to Mar 22, 2021
  • Accounts · 270 to 287
    Jun 24, 2019 to Mar 31, 2020
  • Charity clients · 5 to 0
    Jun 24, 2019 to Mar 31, 2020
  • HNW clients · 35 to 42
    Jun 24, 2019 to Mar 31, 2020
  • Individual clients · 70 to 71
    Jun 24, 2019 to Mar 31, 2020
  • Employees · 4 to 5
    Jun 24, 2019 to Mar 31, 2020
  • Financial planning clients · 26-50 to 11-25
    Jun 24, 2019 to Mar 31, 2020
  • Discretionary RAUM · $85.0M to $99.4M
    Jun 24, 2019 to Mar 31, 2020
  • HNW RAUM · $55.3M to $77.1M
    Jun 24, 2019 to Mar 31, 2020
  • Individual RAUM · $25.3M to $17.8M
    Jun 24, 2019 to Mar 31, 2020
  • Pension RAUM · $243,568 to $324,001
    Jun 24, 2019 to Mar 31, 2020
  • RAUM · $85.0M to $99.4M
    Jun 24, 2019 to Mar 31, 2020
  • Accounts · 591 to 270
    Mar 27, 2018 to Mar 28, 2019
  • Charity clients · 7 to 5
    Mar 27, 2018 to Mar 28, 2019
  • Corporate clients · 8 to 0
    Mar 27, 2018 to Mar 28, 2019
  • HNW clients · 74 to 35
    Mar 27, 2018 to Mar 28, 2019
  • Individual clients · 129 to 70
    Mar 27, 2018 to Mar 28, 2019
  • Pension plan clients · 12 to 0
    Mar 27, 2018 to Mar 28, 2019
  • Employees · 6 to 4
    Mar 27, 2018 to Mar 28, 2019
  • Financial planning clients · 51-100 to 26-50
    Mar 27, 2018 to Mar 28, 2019
  • Discretionary RAUM · $275M to $85.0M
    Mar 27, 2018 to Mar 28, 2019
  • HNW RAUM · $201M to $55.3M
    Mar 27, 2018 to Mar 28, 2019
  • Individual RAUM · $44.1M to $25.3M
    Mar 27, 2018 to Mar 28, 2019
  • Pension RAUM · $11.8M to $243,568
    Mar 27, 2018 to Mar 28, 2019
  • RAUM · $275M to $85.0M
    Mar 27, 2018 to Mar 28, 2019
  • Accounts · 603 to 591
    Mar 13, 2017 to Mar 27, 2018
  • Charity clients · unset to 7.0
    Mar 13, 2017 to Mar 27, 2018
  • Corporate clients · unset to 8.0
    Mar 13, 2017 to Mar 27, 2018
  • HNW clients · unset to 74.0
    Mar 13, 2017 to Mar 27, 2018
  • Individual clients · unset to 129.0
    Mar 13, 2017 to Mar 27, 2018
  • Pension plan clients · unset to 12.0
    Mar 13, 2017 to Mar 27, 2018
  • Pooled vehicle clients · unset to 0.0
    Mar 13, 2017 to Mar 27, 2018
Signals
3 dated events
  • W••••• Q•••• P•••••••• I••• reported RAUM $85.0M, down 69% from $275.0M (2018-03-27 to 2019-03-28)
    Mar 28, 2019 · RAUM change · derived
  • Jeffrey Platt (Chief Investment Officer) no longer on Schedule A of W••••• Q•••• P•••••••• I••• (listed 2018-03-27, absent 2019-03-28)
    Mar 28, 2019 · Control person left · inference
  • W••••• Q•••• P•••••••• I••• filed its initial SEC registration (Form ADV)
    Dec 12, 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