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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SEC-registered adviser
Q•••• C•••••• M•••••••••
Wealth manager with institutional or fund businessNew York, New YorkCRD 26586SEC 801-128990websiteIAPD
Legal name Q•••• C•••••• C•••••••••
Latest filing May 4, 2026
First filing on the tape Oct 2, 2023 · 13 filings
SEC status approved since Nov 8, 2023
RAUM
$162M
reported, Item 5.F
Discretionary
39%
of RAUM
Private clients
39%
$63.9M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$20.3M
derived; firm RAUM over IAPD count
Employees
16
15 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$162M as of May 4, 2026
Sep 30, 2024$148M then
HNW client RAUM$63.9M as of May 4, 2026
Sep 30, 2024$63.5M then
State-registered IARs (5.B.3)5 as of May 4, 2026
Sep 30, 20245 then
Employees (5.A)16 as of May 4, 2026
Sep 30, 202416 then
Private funds: no history
RAUM +9.8% over the last fiscal yearIARs 5 to 5
Practice profile
derived from the filing of May 4, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $20.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 10derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $769,633derivedHNW RAUM over HNW clients
- Average account
- $1.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 39%derivedof RAUM
- Institutional
- 61%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 8.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -18%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$98.2M61%
- High-net-worth individuals$63.9M39%
- Individual clients
- 0reported
- HNW clients
- 83reported
- Pension plan clients
- 20reported
- Charitable clients
- 0reported
- Accounts
- 98reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.39 fund_share=0.0 institutional_share=0.61 related_bd=true related_bank=false bd_reps=6.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••••••• N••••• Q•••• | New York, Ny | Aug 10, 2016 | 42 y | 1 |
| K•••• R•••• O••• | Greenwich, Ct | Nov 30, 2017 | 41 y | 2 |
| M•••••• L••••••• R••• | New York, Ny | Sep 7, 2018 | 33 y | 0 |
| P•••••• J• C•••••••• | New York, Ny | Sep 27, 2018 | 23 y | 1 |
| J•••• K••••••• L••••••• | New York, Ny | May 8, 2019 | 42 y | 1 |
| A•••••• G•••••• G••••••• | New York, Ny | Oct 14, 2021 | 42 y | 2 |
| W•••••• J•••• P••••• | New York, Ny | Apr 24, 2023 | 25 y | 0 |
| J•••• L••• T••••••••• | New York, Ny | Jun 10, 2026 | 10 y | 2 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 13% of current headcount3 left over 36 months
Left, latest
- D•••• E••••• A••••• to P••••• W••••• P•••••••• I•••Dec 31, 2025 · RIA to a state-registered adviser
- K••• S•••• to S••••• W••••• A••••••• L••Nov 22, 2023 · RIA to RIA
- W•••••• M••••••••• to T• P•••••• C••••• W••••• L••Oct 20, 2023 · RIA to affiliated broker-dealer or bank
- L••• M••• S•••••••• to C•••• C•••••• A••••••• L••Jun 2, 2023 · RIA to a state-registered adviser
- S••••• M••• H•••••••• to H••••• A•••••••• I•••May 1, 2023 · RIA to RIA
- J••••• G••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Mar 14, 2022 · RIA to wirehouse
- B••••••• L•••••• C••••••• to L••••• T•••• A••••••• L••Nov 30, 2015 · RIA to a state-registered adviser
Joined, latest
- J•••• L••• T••••••••• from Q••••• P••••••• I••••••••• M•••••••••Jun 10, 2026 · RIA to RIA
- D•••• E••••• A••••• from D••••••• S••••••••• L••Apr 5, 2024 · RIA to RIA
- L••• M••• S•••••••• from W••••••• C•••••• M••••••• L••Jun 23, 2022 · RIA to RIA
- W•••••• M••••••••• from V••••••••• A••••••• S•••••••Mar 21, 2022 · Affiliated broker-dealer or bank to independent RIA
- S••••• M••• H•••••••• from W••••••••• S•••••• • C••• L••Jan 18, 2022 · RIA to RIA
- A•••••• G•••••• G••••••• from W•••• F•••• A•••••••Oct 14, 2021 · Wirehouse to independent RIA
- K••• S•••• from B• R•••• W••••• A•••••••• I•••Jul 26, 2019 · Affiliated broker-dealer or bank to independent RIA
- J•••• K••••••• L••••••• from P••••••• I••••••••• I•••May 8, 2019 · Other
- P•••••• J• C•••••••• from C•••••••• G••••• M•••••• I•••Sep 27, 2018 · Affiliated broker-dealer or bank to independent RIA
- K•••• R•••• O••• from K•••• I•••Nov 30, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Q••••• A•••••••• N••••• · Ceocontrolsince 06/2015 · owns less than 5%
- Q••••• A•••••••• N••••• · Ownercontrolsince 08/2013 · owns 75% or more of Q••• Holdings LLC (Formerly Q•••• Capital LLC)
- A•••••• D•••• E••••• · Chief Compliance Officersince 04/2024 · owns less than 5%
- S•••••• R•••• L••• · Municpal Principalsince 08/2023 · owns less than 5%
Entity owners
- Q••• H••••••• L•• •••• C••••• F••• Q•••• C•••••• L•• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- C••••••• E••••••••• L••real estaten
- C••••••• W••••• A•••••••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 8 | 1 | 0 | ||
| Norwalk, Ct | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing May 4, 2026institutional share of RAUM of 61% against a peer median of 0% (5678 comparable advisers, 99.0th percentile, 20.3 robust deviations)peers: independent wealth managers, $100M to $500M (5,678) · 99% percentile
- wealth to institutional shiftCombination · filing Apr 29, 2026private-client share fell 15 points or more while institutional share rose 15 points or more. RAUM $147,573,714 to $162,105,666, advisors 5 to 5, private clients 101 to 83, offices 0 to 0 (2025-03-06 to 2026-04-29)peers: independent wealth managers, $100M to $500M (5,678)
- institutional asset share shiftChange between filings · filing Apr 29, 2026institutional share of RAUM moved from 0.0% to 61.0% between the annual amendments of 2025-03-06 and 2026-04-29peers: independent wealth managers, $100M to $500M (5,678)
- c••••• mix shiftChange between filings · filing Apr 29, 2026private-client share of RAUM moved from 100.0% to 39.0% between the annual amendments of 2025-03-06 and 2026-04-29peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 73 to 98May 9, 2025 to Sep 16, 2025
- Charity clients · unset to 0.0May 9, 2025 to Sep 16, 2025
- Corporate clients · unset to 0.0May 9, 2025 to Sep 16, 2025
- HNW clients · 40 to 83May 9, 2025 to Sep 16, 2025
- Individual clients · 61 to 0May 9, 2025 to Sep 16, 2025
- Pension plan clients · unset to 20.0May 9, 2025 to Sep 16, 2025
- Pooled vehicle clients · unset to 0.0May 9, 2025 to Sep 16, 2025
- Financial planning clients · 0 to 0May 9, 2025 to Sep 16, 2025
- Discretionary RAUM · $56.4M to $63.9MMay 9, 2025 to Sep 16, 2025
- HNW RAUM · $63.5M to $63.9MMay 9, 2025 to Sep 16, 2025
- Individual RAUM · 84117017.0 to unsetMay 9, 2025 to Sep 16, 2025
- Non-discretionary RAUM · $91.2M to $98.2MMay 9, 2025 to Sep 16, 2025
- Pension RAUM · unset to 98226123.0May 9, 2025 to Sep 16, 2025
- RAUM · $148M to $162MMay 9, 2025 to Sep 16, 2025
- Accounts · 101 to 73May 24, 2024 to Sep 30, 2024
- BD registered reps · 15 to 6May 24, 2024 to Sep 30, 2024
- Employees · 20 to 16May 24, 2024 to Sep 30, 2024
- State-registered IARs · 15 to 5May 24, 2024 to Sep 30, 2024
- Discretionary RAUM · $53.6M to $56.4MMay 24, 2024 to Sep 30, 2024
- HNW RAUM · $63.0M to $63.5MMay 24, 2024 to Sep 30, 2024
- Individual RAUM · $83.5M to $84.1MMay 24, 2024 to Sep 30, 2024
- Non-discretionary RAUM · $93.0M to $91.2MMay 24, 2024 to Sep 30, 2024
- RAUM · $147M to $148MMay 24, 2024 to Sep 30, 2024
- Accounts · 100 to 101Oct 16, 2023 to May 7, 2024
- Individual clients · 60 to 61Oct 16, 2023 to May 7, 2024
- Discretionary RAUM · $70.0M to $53.6MOct 16, 2023 to May 7, 2024
- HNW RAUM · $30.0M to $63.0MOct 16, 2023 to May 7, 2024
- Individual RAUM · $40.0M to $83.5MOct 16, 2023 to May 7, 2024
- Non-discretionary RAUM · $0 to $93.0MOct 16, 2023 to May 7, 2024
- RAUM · $70.0M to $147MOct 16, 2023 to May 7, 2024
Signals
9 dated events
- D•••• E••••• A••••• left Q•••• C•••••• M••••••••• for P••••• W••••• P•••••••• I••• (registered 2024-05-24)Dec 31, 2025 · advisor firm c••••• · fact
- Q•••• C•••••• M••••••••• reported 5 state-registered advisory representatives, down from 15 (2024-05-24 to 2024-09-30)Sep 30, 2024 · ria advisor headcount c••••• · derived
- Ruben Rene Jr Ramirez (Firm Principal/Sales Supervisors/Aml Co) no longer on Schedule A of Q•••• C•••••• M••••••••• (listed 2024-05-07, absent 2024-05-24)May 24, 2024 · Control person left · inference
- K••• S•••• left Q•••• C•••••• M••••••••• for S••••• W••••• A••••••• L•• (registered 2024-11-07)Nov 22, 2023 · advisor firm c••••• · fact
- W•••••• M••••••••• left Q•••• C•••••• M••••••••• for T• P•••••• C••••• W••••• L•• (registered 2023-10-19)Oct 20, 2023 · advisor firm c••••• · fact
- Q•••• C•••••• M••••••••• filed its initial SEC registration (Form ADV)Oct 2, 2023 · First SEC registration · fact
- L••• M••• S•••••••• left Q•••• C•••••• M••••••••• for C•••• C•••••• A••••••• L•• (registered 2025-05-28)Jun 2, 2023 · advisor firm c••••• · fact
- S••••• M••• H•••••••• left Q•••• C•••••• M••••••••• for H••••• A•••••••• I••• (registered 2023-04-28)May 1, 2023 · advisor firm c••••• · fact
- J••••• G••••••• left Q•••• C•••••• M••••••••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-04-11)Mar 14, 2022 · advisor firm c••••• · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 212-682-5090reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 646-257-5825reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- Q••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-682-5090reportedpublic record, Form ADV, May 4, 2026
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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $20.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026