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•••••• F•••••••• S•••••••• L••

Former SEC-registered adviserWatsonville, CaliforniaCRD 284960SEC 801-120746IAPD
Latest filing Mar 24, 2022
First filing on the tape Mar 9, 2021 · 7 filings
RAUM
$219M
reported, Item 5.F
Discretionary
6.0%
of RAUM
Private clients
6.0%
$13.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$219M as of Mar 24, 2022
Mar 9, 2021$128M then
HNW client RAUM$2.2M as of Mar 24, 2022
Mar 3, 2022$2.2M then
State-registered IARs (5.B.3)3 as of Mar 24, 2022
Mar 9, 20213 then
Employees (5.A)3 as of Mar 24, 2022
Mar 9, 20213 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 24, 2022; every figure names its basis
RAUM per advisor
$72.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
13derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.1MderivedHNW RAUM over HNW clients
Average account
$2.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
6.0%derivedof RAUM
Institutional
94%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$206M94%
  • Individuals$10.8M4.9%
  • High-net-worth individuals$2.2M1.0%
Individual clients
36reported
HNW clients
2reported
Pension plan clients
42reported
Charitable clients
n/areported
Accounts
80reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • S•••••• S••••••• H••••• · Manager, Managing Director & Chief Compliance Officercontrol
      since 07/2016 · owns less than 5%
    • S•••••• S••••••• H••••• · Owner And Presidentcontrol
      since 01/2016 · owns 75% or more of Q•••••• A••••••••• • I•••••••• S•••••••• I•••
    Entity owners
    • Q•••••• A••••••••• • I•••••••• S•••••••• I••• · Owner
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    • Q•••••• A••••••••• A•• I•••••••• S•••••••• I•••
      real estatey
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 38 to 80
      Mar 3, 2022 to Mar 24, 2022
    • Non-discretionary RAUM · $0 to $206M
      Mar 3, 2022 to Mar 24, 2022
    • Pension RAUM · $0 to $206M
      Mar 3, 2022 to Mar 24, 2022
    • RAUM · $13.0M to $219M
      Mar 3, 2022 to Mar 24, 2022
    • Accounts · 35 to 38
      Jun 11, 2021 to Mar 3, 2022
    • HNW clients · unset to 2.0
      Jun 11, 2021 to Mar 3, 2022
    • Individual clients · 9 to 36
      Jun 11, 2021 to Mar 3, 2022
    • Pension plan clients · 26 to 42
      Jun 11, 2021 to Mar 3, 2022
    • Discretionary RAUM · $5.9M to $13.0M
      Jun 11, 2021 to Mar 3, 2022
    • HNW RAUM · unset to 2220628.0
      Jun 11, 2021 to Mar 3, 2022
    • Individual RAUM · $5.9M to $10.8M
      Jun 11, 2021 to Mar 3, 2022
    • Non-discretionary RAUM · $122M to $0
      Jun 11, 2021 to Mar 3, 2022
    • Pension RAUM · $122M to $0
      Jun 11, 2021 to Mar 3, 2022
    • RAUM · $128M to $13.0M
      Jun 11, 2021 to Mar 3, 2022
    • HQ city · SALINAS to WATSONVILLE
      Apr 22, 2021 to Apr 29, 2021
    Signals
    5 dated events
    • R•••• M• H•••••••• left Q•••••• F•••••••• S•••••••• L•• for G••••• R••••••••• P••••••• L•• (registered 2022-08-11)
      Feb 21, 2023 · Advisor changed firm · fact
    • M••• E••••• L••••••• left Q•••••• F•••••••• S•••••••• L•• for G••••• R••••••••• P••••••• L•• (registered 2022-08-05)
      Feb 21, 2023 · Advisor changed firm · fact
    • 2 advisors left Q•••••• F•••••••• S•••••••• L•• (Watsonville, CA) for G••••• R••••••••• P••••••• L•• on the same day
      Feb 21, 2023 · Team lift-out · derived
    • Q•••••• F•••••••• S•••••••• L•• reported RAUM $13.0M, down 90% from $127.5M (2021-06-11 to 2022-03-03)
      Mar 3, 2022 · RAUM change · derived
    • Q•••••• F•••••••• S•••••••• L•• filed its initial SEC registration (Form ADV)
      Mar 9, 2021 · 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