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

Cue Financial Group, Inc.

Former SEC-registered adviserCRD 21033SEC 801-66538IAPD
Latest filing Oct 6, 2022
First filing on the tape Mar 27, 2012 · 40 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$478M as of May 14, 2018
May 25, 2012$165M then
HNW client RAUM: $198M
State-registered IARs (5.B.3)2 as of May 26, 2022
May 25, 20120 then
Employees (5.A)2 as of May 26, 2022
May 24, 201341 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 2 to 1
Practice profile
derived from the filing of Oct 6, 2022; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, 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
  • buys or sells securities as principal to or from clients (8.A.2)
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
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
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
Left, latest
Joined, latest
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
    • Ryan Michael Melby · Chief Compliance Officer / Coocontrol
      since 07/2022 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Advisers that list Cue Financial Group, Inc. as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Advisory activities · 1 to 2
      Aug 16, 2022 to Sep 27, 2022
    • Related adviser · true to false
      Aug 15, 2022 to Aug 16, 2022
    • BD registered reps · 2 to 1
      May 26, 2022 to Aug 15, 2022
    • Employees · 2 to 1
      May 26, 2022 to Aug 15, 2022
    • Insurance-licensed employees · 2 to 1
      May 26, 2022 to Aug 15, 2022
    • HQ city · PHOENIX to unset
      May 26, 2022 to Aug 15, 2022
    • HQ state · AZ to unset
      May 26, 2022 to Aug 15, 2022
    • State-registered IARs · 2 to 1
      May 26, 2022 to Aug 15, 2022
    • BD registered reps · 3 to 2
      Apr 15, 2020 to May 1, 2021
    • Employees · 3 to 2
      Apr 15, 2020 to May 1, 2021
    • Insurance-licensed employees · 3 to 2
      Apr 15, 2020 to May 1, 2021
    • State-registered IARs · 3 to 2
      Apr 15, 2020 to May 1, 2021
    • Business name · CUE ADVISORY SERVICES, INC. to CUE FINANCIAL GROUP, INC.
      Jun 27, 2019 to Apr 15, 2020
    • Financial planning clients · 51-100 to 0
      Jun 27, 2019 to Apr 15, 2020
    • Legal name · CUE ADVISORY SERVICES, INC. to CUE FINANCIAL GROUP, INC.
      Jun 27, 2019 to Apr 15, 2020
    • Other offices · 1 to 0
      Jun 27, 2019 to Apr 15, 2020
    • Accounts · 1809.0 to unset
      Jan 31, 2019 to May 24, 2019
    • Advisory employees · 36 to 1
      Jan 31, 2019 to May 24, 2019
    • Advisory activities · 4 to 1
      Jan 31, 2019 to May 24, 2019
    • BD registered reps · 38 to 3
      Jan 31, 2019 to May 24, 2019
    • Corporate clients · 3.0 to unset
      Jan 31, 2019 to May 24, 2019
    • HNW clients · 92.0 to unset
      Jan 31, 2019 to May 24, 2019
    • Individual clients · 1244.0 to unset
      Jan 31, 2019 to May 24, 2019
    • Pension plan clients · 23.0 to unset
      Jan 31, 2019 to May 24, 2019
    • Commission compensation · true to false
      Jan 31, 2019 to May 24, 2019
    • Employees · 39 to 3
      Jan 31, 2019 to May 24, 2019
    • Insurance-licensed employees · 39 to 3
      Jan 31, 2019 to May 24, 2019
    • State-registered IARs · 39 to 3
      Jan 31, 2019 to May 24, 2019
    • Discretionary RAUM · 377017731.0 to unset
      Jan 31, 2019 to May 24, 2019
    • HNW RAUM · 198114697.0 to unset
      Jan 31, 2019 to May 24, 2019
    • Individual RAUM · 270679873.0 to unset
      Jan 31, 2019 to May 24, 2019
    • Non-discretionary RAUM · 101038559.0 to unset
      Jan 31, 2019 to May 24, 2019
    • Pension RAUM · 7515358.0 to unset
      Jan 31, 2019 to May 24, 2019
    • RAUM · 478056290.0 to unset
      Jan 31, 2019 to May 24, 2019
    • Related insurance company · true to false
      Jan 31, 2019 to May 24, 2019
    • Business name · CUE FINANCIAL GROUP, INC. to CUE ADVISORY SERVICES, INC.
      Oct 30, 2018 to Dec 26, 2018
    • Legal name · CUE FINANCIAL GROUP, INC. to CUE ADVISORY SERVICES, INC.
      Oct 30, 2018 to Dec 26, 2018
    • Other offices · 17 to 1
      Oct 30, 2018 to Dec 26, 2018
    • Other offices · 18 to 17
      May 31, 2018 to Oct 12, 2018
    • Accounts · 2,065 to 1,809
      Feb 9, 2018 to May 14, 2018
    Signals
    16 dated events
    • Michael Ryan Melby left Cue Financial Group, Inc. for Pfg Advisors (registered 2018-03-02)
      Dec 31, 2022 · Advisor changed firm · fact
    • C Justin Jolly (Chief Compliance Officer) no longer on Schedule A of Cue Financial Group, Inc. (listed 2022-05-26, absent 2022-08-15)
      Aug 15, 2022 · Control person left · inference
    • Thomas Michael Prior (Chief Executive Officer) no longer on Schedule A of Cue Financial Group, Inc. (listed 2022-05-26, absent 2022-08-15)
      Aug 15, 2022 · Control person left · inference
    • Ann Judith Kuplic (Owner) no longer on Schedule A of Cue Financial Group, Inc. (listed 2021-05-01, absent 2022-05-26)
      May 26, 2022 · Control person left · inference
    • Edward James Sollenberger (Owner) no longer on Schedule A of Cue Financial Group, Inc. (listed 2021-05-01, absent 2022-05-26)
      May 26, 2022 · Control person left · inference
    • Ann Judith Kuplic (Owner) appeared on Schedule A of Cue Financial Group, Inc.
      May 1, 2021 · Control person joined · fact
    • Edward James Sollenberger (Owner) appeared on Schedule A of Cue Financial Group, Inc.
      May 1, 2021 · Control person joined · fact
    • Ryan Michael Melby (Owner) appeared on Schedule A of Cue Financial Group, Inc.
      May 1, 2021 · Control person joined · fact
    • Cue Financial Group, Inc. reported 3 state-registered advisory representatives, down from 39 (2019-01-31 to 2019-05-24)
      May 24, 2019 · Advisor headcount change · derived
    • C Justin Jolly (Chief Compliance Officer) appeared on Schedule A of Cue Financial Group, Inc.
      May 24, 2019 · Control person joined · fact
    • Thomas Michael Prior (Chief Executive Officer) appeared on Schedule A of Cue Financial Group, Inc.
      May 24, 2019 · Control person joined · fact
    • James Edward Sollenberger (Chairman) no longer on Schedule A of Cue Financial Group, Inc. (listed 2019-01-31, absent 2019-05-24)
      May 24, 2019 · Control person left · inference
    • Ryan Michael Melby (Ceo/President) no longer on Schedule A of Cue Financial Group, Inc. (listed 2019-01-31, absent 2019-05-24)
      May 24, 2019 · Control person left · inference
    • Judith Ann Kuplic (Executive Vice President/Secretary) no longer on Schedule A of Cue Financial Group, Inc. (listed 2019-01-31, absent 2019-05-24)
      May 24, 2019 · Control person left · inference
    • Howard Gregory Culver (Chief Compliance Officer) no longer on Schedule A of Cue Financial Group, Inc. (listed 2019-01-31, absent 2019-05-24)
      May 24, 2019 · Control person left · inference
    • Cue Financial Group, Inc. reported 1 offices beyond its principal office, down from 17 (2018-10-30 to 2018-12-26)
      Dec 26, 2018 · Office count change · derived
    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