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•••••• P••• L•••

Former SEC-registered adviserMelbourne, CRD 282203SEC 801-108362IAPD
Latest filing Jan 2, 2019
First filing on the tape Aug 31, 2016 · 9 filings
RAUM
$300,000
reported, Item 5.F
Discretionary
100%
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
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$300,000 as of Jan 2, 2019
Mar 27, 2017$133M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 2, 2019
Mar 27, 20170 then
Employees (5.A)4 as of Jan 2, 2019
Mar 27, 201710 then
Private funds1 as of Jan 2, 2019
Mar 27, 20171 then
RAUM -100% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jan 2, 2019; 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
$300,000derivedRAUM over accounts (5.F.2.f)
Discretionary
100%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
-100%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 pooled vehiclesreportedItem 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)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Corporations and businesses$300,000100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Q••• C•••••• M••••• N•••••• C••••• F•••Hedge Fund$00Aug 31, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • D•••••• B•••• M•••••• · Director, Chief Operating Officer, Chief Compliance Officercontrol
        since 09/2014 · owns less than 5%
      • H•••••••• G••••••• M•••••••• · Director, Executive Chairmancontrol
        since 09/2014 · owns less than 5%
      • S•••••••• B••••••• · Director, Chief Executive Officer, Chief Investment Officercontrol
        since 09/2014 · owns less than 5%
      • T••••• D••••• T••••• · Director, Senior Portfolio Managercontrol
        since 04/2016 · owns less than 5%
      • T••••• A•••••• J•••••• · Trustee Of R•• H••• T••••control
        since 07/2017 · owns F of R•• H••• T••••
      Entity owners
      • G•••• C•• T•••• · Shareholder
        direct · owns 50% to 75%
      • L•••••••• M•••••• F•••• T•••• · Shareholder
        direct · owns 25% to 50%
      • E•••••••• •••• P•• L•• · Trustee Of A••••• T••••
        indirect · owns F of A••••• T••••
      • L•••••••• F•••• M••••••••• P•• L•• · Trustee Of L•••••••• M•••••• F•••• T••••
        indirect · owns F of L•••••••• M•••••• F•••• T••••
      • Q••• I••••••••• M••••••• P•• L•• · Trustee Of G•••• C•• T••••
        indirect · owns F of G•••• C•• T••••
      • A••••• T•••• · Shareholder
        direct · owns less than 5%
      • R•• H••• T•••• · Shareholder
        direct · owns 5% to 10%
      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 · 2 to 1
        Mar 14, 2018 to Jan 2, 2019
      • Advisory employees · 6 to 2
        Mar 14, 2018 to Jan 2, 2019
      • Corporate clients · 1.0 to unset
        Mar 14, 2018 to Jan 2, 2019
      • Pooled vehicle clients · 1 to 0
        Mar 14, 2018 to Jan 2, 2019
      • Employees · 14 to 4
        Mar 14, 2018 to Jan 2, 2019
      • Discretionary RAUM · $90.0M to $300,000
        Mar 14, 2018 to Jan 2, 2019
      • RAUM · $90.0M to $300,000
        Mar 14, 2018 to Jan 2, 2019
      • Accounts · 3 to 2
        Aug 28, 2017 to Mar 14, 2018
      • Advisory employees · 4 to 6
        Aug 28, 2017 to Mar 14, 2018
      • Corporate clients · unset to 1.0
        Aug 28, 2017 to Mar 14, 2018
      • Pooled vehicle clients · unset to 1.0
        Aug 28, 2017 to Mar 14, 2018
      • Employees · 10 to 14
        Aug 28, 2017 to Mar 14, 2018
      • Other offices · unset to 0.0
        Aug 28, 2017 to Mar 14, 2018
      • Discretionary RAUM · $110M to $90.0M
        Aug 28, 2017 to Mar 14, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Aug 28, 2017 to Mar 14, 2018
      • RAUM · $110M to $90.0M
        Aug 28, 2017 to Mar 14, 2018
      • Discretionary RAUM · $133M to $110M
        Mar 27, 2017 to Aug 14, 2017
      • RAUM · $133M to $110M
        Mar 27, 2017 to Aug 14, 2017
      • Advisory employees · 3 to 4
        Feb 22, 2017 to Mar 27, 2017
      • Discretionary RAUM · $125M to $133M
        Sep 20, 2016 to Feb 22, 2017
      • RAUM · $125M to $133M
        Sep 20, 2016 to Feb 22, 2017
      Signals
      1 dated events
      • Q••• C•••••• P••• L••• filed its initial SEC registration (Form ADV)
        Aug 31, 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