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 adviserGeorge Town, Grand Cayman, CRD 175033SEC 801-101475IAPD
Latest filing Mar 27, 2017
First filing on the tape Jul 1, 2015 · 5 filings
RAUM
$159M
reported, Item 5.F
Discretionary
0.0%
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
5
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$142M gross assets
History
5 filings and snapshots on the tape
RAUM$159M as of Mar 27, 2017
Mar 24, 2016$106M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2017
Mar 24, 20160 then
Employees (5.A)5 as of Mar 27, 2017
Mar 24, 20160 then
Private funds1 as of Mar 27, 2017
Mar 24, 20161 then
RAUM +50% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2017; 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
$79.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
+50%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • A•••• H•••••••• K•••• · Director Of Operations/Chief Compliance Officercontrol
        since 05/2016 · owns less than 5%
      • E••••• M•••••• B•••• · Principalcontrol
        since 05/2014 · owns 25% to 50%
      • H••••••• M•••••• D•••• · Principalcontrol
        since 05/2014 · owns 10% to 25%
      • R••••••••• V••••••••• G••••• · Principalcontrol
        since 08/2014 · owns 10% to 25%
      • W••••••• J•••••••• H••••• · Principalcontrol
        since 05/2014 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 0 to 5
        May 19, 2016 to Mar 27, 2017
      • Employees · 0 to 5
        May 19, 2016 to Mar 27, 2017
      • Non-discretionary RAUM · $106M to $159M
        May 19, 2016 to Mar 27, 2017
      • RAUM · $106M to $159M
        May 19, 2016 to Mar 27, 2017
      • Accounts · unset to 2.0
        Jul 1, 2015 to Nov 6, 2015
      • Business name · Q•••• C••••••• L•• to Q•••• C•••••• M••••••••• L•••
        Jul 1, 2015 to Nov 6, 2015
      • Legal name · Q•••• C••••••• L•• to Q•••• C•••••• M••••••••• L•••
        Jul 1, 2015 to Nov 6, 2015
      • Private funds · unset to 1
        Jul 1, 2015 to Nov 6, 2015
      • Discretionary RAUM · unset to 0.0
        Jul 1, 2015 to Nov 6, 2015
      • Non-discretionary RAUM · unset to 106138750.0
        Jul 1, 2015 to Nov 6, 2015
      • RAUM · unset to 106138750.0
        Jul 1, 2015 to Nov 6, 2015
      • Related adviser · false to true
        Jul 1, 2015 to Nov 6, 2015
      Signals
      1 dated events
      • Q•••• C••••••• L•• filed its initial SEC registration (Form ADV)
        Jul 1, 2015 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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