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.

Former SEC-registered adviser

Qplum LLC

Former SEC-registered adviserJersey City, New JerseyCRD 175479SEC 801-107248IAPD
Latest filing Mar 29, 2019
First filing on the tape Feb 1, 2016 · 53 filings
RAUM
$76.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
57%
$44.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
33
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
53 filings and snapshots on the tape
RAUM$76.8M as of Mar 29, 2019
Mar 17, 2016$66,045 then
HNW client RAUM$9.7M as of Mar 29, 2019
Mar 21, 2018$21.7M then
State-registered IARs (5.B.3)5 as of Mar 29, 2019
Mar 17, 20162 then
Employees (5.A)33 as of Mar 29, 2019
Mar 17, 20168 then
Private funds: no history
RAUM +77% over the last fiscal year+952% a year over threeIARs 3 to 5
Practice profile
derived from the filing of Mar 29, 2019; every figure names its basis
RAUM per advisor
$15.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
144derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$85,434derivedHNW RAUM over HNW clients
Average account
$121,543derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
6.6derivedItem 5.A over advisors
Advisors per office
2.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+77%derivedbetween the last two annual amendments
Advisor growth, one year
+67%derivedItem 5.B.3 between annual amendments
Client growth, one year
+58%derived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Wrap fee program
$76.8MreportedItem 5.I
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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$34.5M45%
  • Corporations and businesses$32.7M43%
  • High-net-worth individuals$9.7M13%
Individual clients
607reported
HNW clients
113reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
632reported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $0 managedreported
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
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
    • "Nmn" Gaurav Chakravorty · Chief Investment Officer/Managing Membercontrol
      since 10/2015 · owns less than 5%
    • "Nmn" Mansi Singhal · Chief Compliance Officer/Managing Membercontrol
      since 10/2015 · owns less than 5%
    • "Nmn" Gaurav Chakravorty · Chief Investment Officer/Managing Membercontrol
      since 04/2015 · owns 50% to 75% of Qplum, Inc.
    • "Nmn" Mansi Singhal · Chief Compliance Officer/Managing Membercontrol
      since 04/2015 · owns 50% to 75% of Qplum, Inc.
    Entity owners
    • Qplum, Inc. · Owner
      direct · owns 75% or more
    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
    • Accounts · 521 to 632
      Sep 18, 2018 to Mar 29, 2019
    • HNW clients · 89 to 113
      Sep 18, 2018 to Mar 29, 2019
    • Individual clients · 399 to 607
      Sep 18, 2018 to Mar 29, 2019
    • Discretionary RAUM · $70.0M to $76.8M
      Sep 18, 2018 to Mar 29, 2019
    • HNW RAUM · $21.6M to $9.7M
      Sep 18, 2018 to Mar 29, 2019
    • Individual RAUM · $17.9M to $34.5M
      Sep 18, 2018 to Mar 29, 2019
    • RAUM · $70.0M to $76.8M
      Sep 18, 2018 to Mar 29, 2019
    • Accounts · 395 to 521
      Aug 9, 2018 to Aug 21, 2018
    • Corporate clients · 5 to 6
      Aug 9, 2018 to Aug 21, 2018
    • HNW clients · 59 to 89
      Aug 9, 2018 to Aug 21, 2018
    • Individual clients · 396 to 399
      Aug 9, 2018 to Aug 21, 2018
    • Employees · 11 to 33
      Aug 9, 2018 to Aug 21, 2018
    • Discretionary RAUM · $43.5M to $70.0M
      Aug 9, 2018 to Aug 21, 2018
    • HNW RAUM · $21.7M to $21.6M
      Aug 9, 2018 to Aug 21, 2018
    • Individual RAUM · $12.6M to $17.9M
      Aug 9, 2018 to Aug 21, 2018
    • RAUM · $43.5M to $70.0M
      Aug 9, 2018 to Aug 21, 2018
    • Related bank · false to true
      Aug 9, 2018 to Aug 21, 2018
    • Advisory employees · 4 to 5
      Jul 2, 2018 to Aug 9, 2018
    • Employees · 10 to 11
      Jul 2, 2018 to Aug 9, 2018
    • State-registered IARs · 4 to 5
      Jul 2, 2018 to Aug 9, 2018
    • Advisory employees · 3 to 4
      Mar 30, 2018 to Jun 1, 2018
    • Employees · 9 to 10
      Mar 30, 2018 to Jun 1, 2018
    • State-registered IARs · 3 to 4
      Mar 30, 2018 to Jun 1, 2018
    • Accounts · 426 to 395
      Feb 13, 2018 to Mar 21, 2018
    • Corporate clients · 4 to 5
      Feb 13, 2018 to Mar 21, 2018
    • HNW clients · 63 to 59
      Feb 13, 2018 to Mar 21, 2018
    • Individual clients · 427 to 396
      Feb 13, 2018 to Mar 21, 2018
    • Discretionary RAUM · $46.9M to $43.5M
      Feb 13, 2018 to Mar 21, 2018
    • HNW RAUM · $12.0M to $21.7M
      Feb 13, 2018 to Mar 21, 2018
    • Individual RAUM · $22.6M to $12.6M
      Feb 13, 2018 to Mar 21, 2018
    • RAUM · $46.9M to $43.5M
      Feb 13, 2018 to Mar 21, 2018
    • Accounts · 363 to 426
      Dec 21, 2017 to Feb 9, 2018
    • Corporate clients · 0 to 4
      Dec 21, 2017 to Feb 9, 2018
    • HNW clients · 72 to 63
      Dec 21, 2017 to Feb 9, 2018
    • Individual clients · 351 to 427
      Dec 21, 2017 to Feb 9, 2018
    • Discretionary RAUM · $34.6M to $46.9M
      Dec 21, 2017 to Feb 9, 2018
    • HNW RAUM · $8.7M to $12.0M
      Dec 21, 2017 to Feb 9, 2018
    • Individual RAUM · $26.0M to $22.6M
      Dec 21, 2017 to Feb 9, 2018
    • RAUM · $34.6M to $46.9M
      Dec 21, 2017 to Feb 9, 2018
    • Accounts · 353 to 363
      Dec 8, 2017 to Dec 21, 2017
    Signals
    1 dated events
    • Qplum Llc filed its initial SEC registration (Form ADV)
      Feb 1, 2016 · 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