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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
W••••• Q••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Jun 25, 2019 · 17 filings
SEC status approved since Jul 25, 2019
RAUM
$391M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$387M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$78.3M
derived; firm RAUM over IAPD count
Employees
11
5 advisory (5.B.1)
Offices
14
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$391M as of Mar 30, 2026
May 1, 2020$161M then
HNW client RAUM$222M as of Mar 30, 2026
May 1, 2020$35.0M then
State-registered IARs (5.B.3)5 as of Mar 30, 2026
May 1, 20203 then
Employees (5.A)11 as of Mar 30, 2026
May 1, 202011 then
Private funds: no history
RAUM +18% over the last fiscal year+18% a year over threeIARs 4 to 5offices 15 to 14
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $78.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 222derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.1MderivedHNW RAUM over HNW clients
- Average account
- $191,639derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.2derivedItem 5.A over advisors
- Advisors per office
- 0.3derived15 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.8%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$222M57%
- Individuals$165M42%
- Pension and profit-sharing plans$4.1M1.0%
- Charitable organizations$8,9850.0%
- Individual clients
- 908reported
- HNW clients
- 203reported
- Pension plan clients
- 6reported
- Charitable clients
- n/areported
- Accounts
- 2,042reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P••• W•••••• M•••••Certified Financial Planner, Chartered Financial Analyst | Toms River, Nj | Apr 11, 2016 | 13 y | 0 |
| J••• A••• J••••••• | Toms River, Nj | Jun 7, 2016 | 19 y | 2 |
| C••••••••• W•••••• M•••• | Toms River, Nj | Jun 1, 2017 | 14 y | 1 |
| H••••• L••••••• B•••••••Certified Financial Planner | Toms River, Nj | Jun 9, 2021 | 38 y | 0 |
| B•••••• C•••••• B••••• | Toms River, Nj | Nov 6, 2025 | 12 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 20% of current headcount1 left over 36 months
Left, latest
- R•••••• E• W••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Nov 4, 2025 · RIA to wirehouse
Joined, latest
- C••••••••• W•••••• M•••• from J• W• C••• A•••••••• I•••Jun 1, 2017 · Other
- J••• A••• J••••••• from J• W• C••• A•••••••• I•••Jun 7, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from J• W• C••• A•••••••• I•••May 6, 2016 · Tampa, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• T•••••• J•••• · Chief Compliance Officercontrolsince 12/2019 · owns less than 5%
- J•••••••• J•••• A••• · Presidentcontrolsince 02/2016 · owns 75% or more
Related persons
Schedule D 7.A
- J••••••• A••••••• G••••• I•••real estaten
- J••••••• T•• G••••• L••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Toms River, Nj · principal | 5 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Basking Ridge, NJ3 employees
- Manhasset, NY3 employees
- Melville, NY3 employees
- New York, NY3 employees
- Paramus, NJ3 employees
- Princeton, NJ3 employees
- Red Bank, NJ3 employees
- Short Hills, NJ3 employees
- Hackensack, NJ3 employees
- Valley Stream, NY2 employees
- Suffern, NY2 employees
- King Of Prussia, PA2 employees
- Yonkers, NY2 employees
- Stamford, CT2 employees
- Cherry Hill, NJ1 employees
- Rye, NY1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high office count relative to headcountStatic outlier · filing Mar 30, 2026offices per registered advisor of 3.0 against a peer median of 0.6 (577 comparable advisers, 100.0th percentile, 9.4 robust deviations)peers: independent wealth managers, $100M to $500M (577) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 1,678 to 2,042Mar 31, 2025 to Mar 30, 2026
- Advisory employees · 4 to 5Mar 31, 2025 to Mar 30, 2026
- HNW clients · 172 to 203Mar 31, 2025 to Mar 30, 2026
- Individual clients · 859 to 908Mar 31, 2025 to Mar 30, 2026
- Pension plan clients · 7 to 6Mar 31, 2025 to Mar 30, 2026
- Employees · 10 to 11Mar 31, 2025 to Mar 30, 2026
- State-registered IARs · 4 to 5Mar 31, 2025 to Mar 30, 2026
- Other offices · 15 to 14Mar 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $329M to $389MMar 31, 2025 to Mar 30, 2026
- HNW RAUM · $170M to $222MMar 31, 2025 to Mar 30, 2026
- Individual RAUM · $155M to $165MMar 31, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $2.6M to $2.2MMar 31, 2025 to Mar 30, 2026
- Pension RAUM · $6.9M to $4.1MMar 31, 2025 to Mar 30, 2026
- RAUM · $332M to $391MMar 31, 2025 to Mar 30, 2026
- Accounts · 1,740 to 1,678Mar 28, 2024 to Mar 31, 2025
- Advisory employees · 5 to 4Mar 28, 2024 to Mar 31, 2025
- HNW clients · 48 to 172Mar 28, 2024 to Mar 31, 2025
- Individual clients · 926 to 859Mar 28, 2024 to Mar 31, 2025
- Financial planning clients · 1-10 to 1-10Mar 28, 2024 to Mar 31, 2025
- Other offices · 17 to 15Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $284M to $329MMar 28, 2024 to Mar 31, 2025
- HNW RAUM · $82.0M to $170MMar 28, 2024 to Mar 31, 2025
- Individual RAUM · $200M to $155MMar 28, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $4.1M to $2.6MMar 28, 2024 to Mar 31, 2025
- Pension RAUM · $5.9M to $6.9MMar 28, 2024 to Mar 31, 2025
- RAUM · $288M to $332MMar 28, 2024 to Mar 31, 2025
- Accounts · 1,644 to 1,740Mar 31, 2023 to Mar 28, 2024
- HNW clients · 80 to 48Mar 31, 2023 to Mar 28, 2024
- Individual clients · 905 to 926Mar 31, 2023 to Mar 28, 2024
- Pension plan clients · 5 to 7Mar 31, 2023 to Mar 28, 2024
- Insurance-licensed employees · 1 to 0Mar 31, 2023 to Mar 28, 2024
- State-registered IARs · 5 to 4Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $234M to $284MMar 31, 2023 to Mar 28, 2024
- HNW RAUM · $86.0M to $82.0MMar 31, 2023 to Mar 28, 2024
- Individual RAUM · $148M to $200MMar 31, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $3.8M to $4.1MMar 31, 2023 to Mar 28, 2024
- Pension RAUM · $3.6M to $5.9MMar 31, 2023 to Mar 28, 2024
- RAUM · $237M to $288MMar 31, 2023 to Mar 28, 2024
- Accounts · 1,432 to 1,644May 4, 2022 to Mar 31, 2023
- HNW clients · 71 to 80May 4, 2022 to Mar 31, 2023
Signals
3 dated events
- R•••••• E• W••••• left W••••• Q••••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2026-03-03)Nov 4, 2025 · Advisor changed firm · fact
- J•••• T••••• C••••• (Chief Compliance Officer) appeared on Schedule A of W••••• Q••••••••• L••Dec 24, 2019 · Control person joined · fact
- W••••• Q••••••••• L•• filed its initial SEC registration (Form ADV)Jun 25, 2019 · 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.
How to reach
public business contact points only, each with its source
- Website
- thefinancialquarterback.usreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 732-965-8190reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- thefinancialquarterback.us/contactreportedpublished by the firm, firm site, Sep 16, 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
- $78.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026