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••••• W••••• M••••••••• L••
Latest filing Mar 10, 2026
First filing on the tape Jul 7, 2016 · 26 filings
SEC status approved since Jul 15, 2016
RAUM
$449M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$448M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$89.9M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$449M as of Mar 10, 2026
Mar 29, 2017$102M then
HNW client RAUM$347M as of Mar 10, 2026
Mar 29, 2018$57.4M then
State-registered IARs (5.B.3)5 as of Mar 10, 2026
Mar 29, 20172 then
Employees (5.A)7 as of Mar 10, 2026
Mar 29, 20176 then
Private funds: no history
RAUM +23% over the last fiscal year+15% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 10, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $89.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 91derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $346,932derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.4%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $30.0M, 30 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$347M77%
- Individuals$101M22%
- Charitable organizations$1.2M0.3%
- Corporations and businesses$60,4530.0%
- Individual clients
- 313reported
- HNW clients
- 140reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 1,295reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $30.0M for 30 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• R•••••• R•••••• | Moorestown, Nj | Apr 18, 2018 | 21 y | 2 |
| J••• J•••• H••••••Certified Financial Planner | Moorestown, Nj | Jul 3, 2018 | 24 y | 2 |
| P•••• R•••••• N•••Certified Financial Planner | Moorestown, Nj | Jul 3, 2018 | 23 y | 3 |
| N••••••• W•••••• D•••••••Certified Financial Planner, Chartered Financial Analyst | Moorestown, Nj | Jun 18, 2019 | 12 y | 0 |
| T•••••• H• M•••••Certified Financial Planner | Moorestown, Nj | Aug 5, 2020 | 10 y | 1 |
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
- J••••••• L••• A••••••• to A•• F••••••••• L••Jun 10, 2025 · Other
Joined, latest
- T•••••• H• M••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 5, 2020 · Wirehouse to independent RIA
- J••• J•••• H•••••• from S••••• F•••••••• G•••• I••Jul 3, 2018 · Affiliated broker-dealer or bank to independent RIA
- P•••• R•••••• N••• from S••••• F•••••••• G•••• I••Jul 3, 2018 · Affiliated broker-dealer or bank to independent RIA
- D••••• R•••••• R•••••• from V•• A••••••• S•••••••Apr 18, 2018 · Other
- J••••••• L••• A••••••• from V•• A••••••• S•••••••Oct 7, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from S••••• F•••••••• G•••• I••Jul 3, 2018 · Moorestown, Nj
- 2 joined from V•• A••••••• S•••••••Aug 1, 2016 · Overland Park, Ks
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••• J•••• J•••• · Member, Ccocontrolsince 01/2020 · owns 50% to 75%
- N•••• P••••• R•••••• · Membercontrolsince 01/2020 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Moorestown, Nj · principal | 5 | 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
- affiliate changedChange between filings · filing Mar 10, 2026insurance affiliate (Item 7.A.10): yes on the filing of 2025-03-15, no on the filing of 2026-03-10peers: independent wealth managers, $100M to $500M (5,676)
- compensation changedChange between filings · filing Mar 10, 2026hourly charges (Item 5.E.2): yes on the filing of 2025-03-15, no on the filing of 2026-03-10peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 1,300 to 1,295Mar 15, 2025 to Mar 10, 2026
- Charity clients · 3 to 1Mar 15, 2025 to Mar 10, 2026
- Corporate clients · unset to 1.0Mar 15, 2025 to Mar 10, 2026
- HNW clients · 95 to 140Mar 15, 2025 to Mar 10, 2026
- Individual clients · 360 to 313Mar 15, 2025 to Mar 10, 2026
- Assets in custody · $20.4M to $30.0MMar 15, 2025 to Mar 10, 2026
- Financial planning clients · 101-250 to 251-500Mar 15, 2025 to Mar 10, 2026
- Discretionary RAUM · $363M to $449MMar 15, 2025 to Mar 10, 2026
- HNW RAUM · $240M to $347MMar 15, 2025 to Mar 10, 2026
- Individual RAUM · $121M to $101MMar 15, 2025 to Mar 10, 2026
- Non-discretionary RAUM · $2.5M to $0Mar 15, 2025 to Mar 10, 2026
- RAUM · $365M to $449MMar 15, 2025 to Mar 10, 2026
- Related insurance company · true to falseMar 15, 2025 to Mar 10, 2026
- Accounts · 1,039 to 1,300Mar 21, 2024 to Mar 15, 2025
- Advisory employees · 5 to 4Mar 21, 2024 to Mar 15, 2025
- Charity clients · unset to 3.0Mar 21, 2024 to Mar 15, 2025
- HNW clients · 88 to 95Mar 21, 2024 to Mar 15, 2025
- Individual clients · 349 to 360Mar 21, 2024 to Mar 15, 2025
- Employees · 8 to 7Mar 21, 2024 to Mar 15, 2025
- Financial planning clients · 251-500 to 101-250Mar 21, 2024 to Mar 15, 2025
- State-registered IARs · 6 to 5Mar 21, 2024 to Mar 15, 2025
- Discretionary RAUM · $324M to $363MMar 21, 2024 to Mar 15, 2025
- HNW RAUM · $204M to $240MMar 21, 2024 to Mar 15, 2025
- Individual RAUM · $118M to $121MMar 21, 2024 to Mar 15, 2025
- Non-discretionary RAUM · $2.3M to $2.5MMar 21, 2024 to Mar 15, 2025
- Pension RAUM · 1000000.0 to unsetMar 21, 2024 to Mar 15, 2025
- RAUM · $326M to $365MMar 21, 2024 to Mar 15, 2025
- Accounts · 1,168 to 1,039Oct 11, 2023 to Mar 21, 2024
- Advisory employees · 4 to 5Oct 11, 2023 to Mar 21, 2024
- HNW clients · 153 to 88Oct 11, 2023 to Mar 21, 2024
- Individual clients · 253 to 349Oct 11, 2023 to Mar 21, 2024
- Assets in custody · $300M to $20.4MOct 11, 2023 to Mar 21, 2024
- Financial planning clients · 101-250 to 251-500Oct 11, 2023 to Mar 21, 2024
- State-registered IARs · 3 to 6Oct 11, 2023 to Mar 21, 2024
- Discretionary RAUM · $296M to $324MOct 11, 2023 to Mar 21, 2024
- HNW RAUM · $171M to $204MOct 11, 2023 to Mar 21, 2024
- Individual RAUM · $126M to $118MOct 11, 2023 to Mar 21, 2024
- Non-discretionary RAUM · $3.0M to $2.3MOct 11, 2023 to Mar 21, 2024
- Pension RAUM · unset to 1000000.0Oct 11, 2023 to Mar 21, 2024
- RAUM · $299M to $326MOct 11, 2023 to Mar 21, 2024
Signals
5 dated events
- J••••••• L••• A••••••• left Q••••• W••••• M••••••••• L•• for A•• F••••••••• L•• (registered 2024-11-07)Jun 10, 2025 · Advisor changed firm · fact
- Richard Daniel Roccato (Managing Member/Cco) no longer on Schedule A of Q••••• W••••• M••••••••• L•• (listed 2019-10-16, absent 2020-01-02)Jan 2, 2020 · Control person left · inference
- Jacob John Heisler (Member, Cco) appeared on Schedule A of Q••••• W••••• M••••••••• L••Jan 2, 2020 · Control person joined · fact
- Richard Peter News (Member) appeared on Schedule A of Q••••• W••••• M••••••••• L••Jan 2, 2020 · Control person joined · fact
- Q••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jul 7, 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.
How to reach
public business contact points only, each with its source
- Business email
- info@quakerwm.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 856-222-0110reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/quakerwealthmgtreportedpublic record, Form ADV, Sep 18, 2026
- Website
- Q•••••WM.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 856-222-0110reportedpublic record, Form ADV, Mar 10, 2026
- Contact form
- quakerwm.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- quakerwm.com/our-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
- $89.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026