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.
SEC-registered adviser
Quadrant Private Wealth Management, LLC
Latest filing Apr 1, 2026
First filing on the tape Jul 27, 2015 · 31 filings
SEC status approved since Jul 1, 2015
RAUM
$2.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$2.1B individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$175M
derived; firm RAUM over IAPD count
Employees
19
12 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$2.1B as of Apr 1, 2026
Mar 29, 2016$538M then
HNW client RAUM$1.9B as of Apr 1, 2026
Mar 28, 2018$515M then
State-registered IARs (5.B.3)12 as of Apr 1, 2026
Mar 29, 20164 then
Employees (5.A)19 as of Apr 1, 2026
Mar 29, 201611 then
Private funds: no history
RAUM +16% over the last fiscal year+13% a year over threeIARs 12 to 12
Practice profile
derived from the filing of Apr 1, 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)
- RAUM per advisor
- $175MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 73derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.9MderivedHNW RAUM over HNW clients
- Average account
- $681,387derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 12.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.2%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 5.G
- Custody
- $1.1B, 784 clientsreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.9B92%
- Individuals$153M7.3%
- Pension and profit-sharing plans$12.9M0.6%
- Individual clients
- 481reported
- HNW clients
- 394reported
- Pension plan clients
- 8reported
- Charitable clients
- n/areported
- Accounts
- 3,076reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.1B for 784 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=true related_bank=true bd_reps=5.0 bank_owner=falsederived
Advisors registered through the firm
12 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Kori Rij Lannon | Center Valley, Pa | Aug 13, 2015 | 18 y | 2 |
| Jason Brewer Cort | Center Valley, Pa | Aug 13, 2015 | 31 y | 2 |
| Brian Christopher CortCertified Financial Planner, Chartered Financial Consultant | Center Valley, Pa | Aug 13, 2015 | 25 y | 2 |
| Herman Lubomir Rij | Center Valley, Pa | Aug 14, 2015 | 45 y | 2 |
| Francis Edward Lawler | Center Valley, Pa | Oct 9, 2017 | 16 y | 0 |
| Jonathan J Mack | Bethlehem, Pa | Aug 14, 2018 | 25 y | 1 |
| Paul Henry FrancisCertified Financial Planner | Center Valley, Pa | Feb 26, 2020 | 13 y | 1 |
| David Graham Decker | Center Valley, Pa | Mar 9, 2020 | 36 y | 1 |
| Conor James ZellnerCertified Financial Planner | Center Valley, Pa | Jul 1, 2022 | 10 y | 0 |
| Mark A CecchiniCertified Financial Planner | Center Valley, Pa | May 16, 2024 | 13 y | 7 |
| Scott Christopher Kuna | Center Valley, Pa | Aug 26, 2024 | 12 y | 0 |
| Thomas Anthony Hanvey | Center Valley, Pa | Aug 28, 2024 | 12 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- Joseph Francis Flannery to Raymond James & Associates, Inc.Oct 21, 2024 · RIA to affiliated broker-dealer or bank
Joined, latest
- Mark A Cecchini from Compound Planning, Inc.May 16, 2024 · RIA to RIA
- David Graham Decker from Merrill Lynch, Pierce, Fenner & Smith IncorporatedMar 9, 2020 · Wirehouse to independent RIA
- Paul Henry Francis from Merrill Lynch, Pierce, Fenner & Smith IncorporatedFeb 26, 2020 · Wirehouse to independent RIA
- Jonathan J Mack from Merrill Lynch, Pierce, Fenner & Smith IncorporatedAug 14, 2018 · Wirehouse to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from Quadrant Private Wealth, LLCAug 28, 2015 · Bethlehem, Pa · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Christopher Brian Cort · Chief Compliance Officercontrolsince 07/2015 · owns less than 5%
- Brewer Jason Cort · Foundercontrolsince 07/2015 · owns less than 5%
- Graham David Decker · Wealth Advisorcontrolsince 02/2020 · owns less than 5%
- Rij Kori Lannon · Foundercontrolsince 07/2015 · owns less than 5%
- Edward Francis Lawler · Chief Operating Officercontrolsince 01/2020 · owns less than 5%
- Lubomir Herman Rij · Foundercontrolsince 07/2015 · owns less than 5%
Entity owners
- Focus Operating, LLC · Memberdirect · owns 75% or more
- Cd&R Ferdinand Co-Investor, L.P. · Partnerindirect · owns 25% to 50% of Cd&R Ferdinand Holdings, L.P.
- Cd&R Ferdinand Holdings, L.P. · Partnerindirect · owns 50% to 75% of Ferdinand Ffp Ultimate Holdings, LP
- Clayton, Dubilier & Rice Fund Xii, L.P. · Partnerindirect · owns 50% to 75% of Cd&R Ferdinand Holdings, L.P.
- Ferdinand Ffp Acquisition, LLC · Shareholder, Class A Common Stockindirect · owns 75% or more of Focus Financial Partners Inc.
- Ferdinand Ffp Intermediate Holdings, LLC · Memberindirect · owns 75% or more of Ferdinand Ffp Acquisition, LLC
- Ferdinand Ffp Parent, Inc. · Memberindirect · owns 75% or more of Ferdinand Ffp Intermediate Holdings, LLC
- Ferdinand Ffp Ultimate Holdings, LP · Shareholderindirect · owns 75% or more of Ferdinand Ffp Parent, Inc.
- Ferdinand Ffp Ultimate Holdings, LP · Shareholder Class B Common Stockindirect · owns 75% or more of Focus Financial Partners Inc.
- Focus Financial Partners Inc. · Managing Memberindirect · owns 75% or more of Focus Financial Partners, LLC
- Focus Financial Partners, LLC · Memberindirect · owns 75% or more of Focus Operating, LLC
Related persons
Schedule D 7.A
- Dorchester Wealth Management Companyinvestment advisernRAUM $1.3B
- Focus Risk Solutions, LLCreal estaten
- Quadrant Insurance Wealth Structuring, LLCreal estaten
Advisers that list Quadrant Private Wealth Management, LLC as a related person
- 221519 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Center Valley, Pa · principal | 11 | 0 | 0 | ||
| Bethlehem, Pa | 1 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Apr 1, 2026DECKER, DAVID, GRAHAM (WEALTH ADVISOR) appeared on Schedule A between the filings of 2023-09-26 and 2026-04-01peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Apr 1, 2026RIJ, HERMAN, LUBOMIR (FOUNDER) left Schedule A between the filings of 2023-09-26 and 2026-04-01peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 2,764 to 3,076Mar 25, 2025 to Apr 1, 2026
- HNW clients · 352 to 394Mar 25, 2025 to Apr 1, 2026
- Individual clients · 457 to 481Mar 25, 2025 to Apr 1, 2026
- Pension plan clients · 25 to 8Mar 25, 2025 to Apr 1, 2026
- Assets in custody · $1.1B to $1.1BMar 25, 2025 to Apr 1, 2026
- Discretionary RAUM · $1.8B to $2.1BMar 25, 2025 to Apr 1, 2026
- HNW RAUM · $1.7B to $1.9BMar 25, 2025 to Apr 1, 2026
- Individual RAUM · $146M to $153MMar 25, 2025 to Apr 1, 2026
- Non-discretionary RAUM · $3.2M to $1.8MMar 25, 2025 to Apr 1, 2026
- Pension RAUM · $12.1M to $12.9MMar 25, 2025 to Apr 1, 2026
- RAUM · $1.8B to $2.1BMar 25, 2025 to Apr 1, 2026
- Accounts · 2,628 to 2,764May 16, 2024 to Mar 25, 2025
- HNW clients · 316 to 352May 16, 2024 to Mar 25, 2025
- Individual clients · 470 to 457May 16, 2024 to Mar 25, 2025
- Pension plan clients · 64 to 25May 16, 2024 to Mar 25, 2025
- Employees · 16 to 19May 16, 2024 to Mar 25, 2025
- Financial planning clients · 0 to 0May 16, 2024 to Mar 25, 2025
- State-registered IARs · 9 to 12May 16, 2024 to Mar 25, 2025
- Discretionary RAUM · $1.6B to $1.8BMay 16, 2024 to Mar 25, 2025
- HNW RAUM · $1.5B to $1.7BMay 16, 2024 to Mar 25, 2025
- Individual RAUM · $149M to $146MMay 16, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $3.5M to $3.2MMay 16, 2024 to Mar 25, 2025
- Pension RAUM · $21.0M to $12.1MMay 16, 2024 to Mar 25, 2025
- RAUM · $1.6B to $1.8BMay 16, 2024 to Mar 25, 2025
- Related insurance company · false to trueMay 16, 2024 to Mar 25, 2025
- Accounts · 2,508 to 2,628Mar 6, 2024 to Mar 30, 2024
- Advisory employees · 11 to 12Mar 6, 2024 to Mar 30, 2024
- BD registered reps · 6 to 5Mar 6, 2024 to Mar 30, 2024
- HNW clients · 289 to 316Mar 6, 2024 to Mar 30, 2024
- Individual clients · 584 to 470Mar 6, 2024 to Mar 30, 2024
- Pension plan clients · 4 to 64Mar 6, 2024 to Mar 30, 2024
- Assets in custody · $774M to $1.1BMar 6, 2024 to Mar 30, 2024
- Financial planning clients · 1-10 to 0Mar 6, 2024 to Mar 30, 2024
- HQ city · BETHLEHEM to CENTER VALLEYMar 6, 2024 to Mar 30, 2024
- State-registered IARs · 3 to 9Mar 6, 2024 to Mar 30, 2024
- Discretionary RAUM · $1.4B to $1.6BMar 6, 2024 to Mar 30, 2024
- HNW RAUM · $1.3B to $1.5BMar 6, 2024 to Mar 30, 2024
- Individual RAUM · $160M to $149MMar 6, 2024 to Mar 30, 2024
- Non-discretionary RAUM · $3.2M to $3.5MMar 6, 2024 to Mar 30, 2024
- Pension RAUM · $4.4M to $21.0MMar 6, 2024 to Mar 30, 2024
Signals
6 dated events
- Joseph Francis Flannery left Quadrant Private Wealth Management, Llc for Raymond James & Associates, Inc. (registered 2024-06-04)Oct 21, 2024 · Advisor changed firm · fact
- Quadrant Private Wealth Management, Llc reported RAUM $1.4B, up 42% from $991.9M (2021-12-09 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Quadrant Private Wealth Management, Llc reported RAUM $991.9M, up 42% from $696.2M (2020-12-15 to 2021-03-25)Mar 25, 2021 · RAUM change · derived
- Edward Francis Lawler (Chief Operating Officer) appeared on Schedule A of Quadrant Private Wealth Management, LlcFeb 19, 2020 · Control person joined · fact
- Quadrant Private Wealth Management, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)Jul 27, 2015 · Succession (Item 4) · fact
- Quadrant Private Wealth Management, Llc filed its initial SEC registration (Form ADV)Jul 27, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Quadrant Private Wealth Management, LLC · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business email
- info@quadcapco.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 610-849-2740reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 610-849-2739reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/QUADRANT-CAPITALreportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/2064318reportedpublic record, Form ADV, Sep 18, 2026
- Website
- quadcapco.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 610-849-2743reportedpublic record, Form ADV, Apr 1, 2026
- Contact form
- quadcapco.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- quadcapco.com/company/teamreportedpublished by the firm, firm site, Sep 15, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $175Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026