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•••• I••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Dec 14, 2016 · 24 filings
SEC status approved since Sep 26, 2017
RAUM
$1.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$613M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$1.2B as of Mar 31, 2026
May 1, 2017$1.2M then
HNW client RAUM$0 as of Mar 31, 2026
Feb 26, 2018$0 then
State-registered IARs (5.B.3)1 as of Mar 31, 2026
May 1, 20170 then
Employees (5.A)7 as of Mar 31, 2026
May 1, 20172 then
Private funds2 as of Mar 31, 2026
May 1, 20172 then
RAUM +15% over the last fiscal year+2.6% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- $613MderivedRAUM 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
- $153MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 45%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$596M49%
- State and municipal entities$442M36%
- Pension and profit-sharing plans$110M8.9%
- Pooled investment vehicles$79.8M6.5%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 1reported
- Charitable clients
- 0reported
- Accounts
- 8reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.55 institutional_share=0.45 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• N•• K••••••••Chartered Financial Analyst | Boston, Ma | Jul 10, 2017 | 19 y | 0 |
| H•••••••• R••••• H••Chartered Financial Analyst | West Palm Beach, Fl | Jul 10, 2017 | 28 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Q•••• S•••• B•••••• E••••• F•••• L• | Hedge Fund | $926,001 | 2 | Dec 14, 2016 |
| Q•••• S•••• B•••••• E••••• L••••••••• F•••• L• | Hedge Fund | $492,473 | 2 | Dec 14, 2016 |
Owners and control persons
Schedule A and B, latest filing
- H••• H••••••••• R••••• · Managing Member / Co-Founder / Directorcontrolsince 05/2016 · owns 50% to 75%
- K••••••••• D•••••• N•• · Managing Member / Co-Founder / Directorcontrolsince 05/2016 · owns 50% to 75%
- S••••••••• A•••• S••••••• · Chief Compliance Officersince 08/2022 · owns less than 5%
Related persons
Schedule D 7.A
- Q•••• L••pooled vehicle sponsory
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Boston, Ma · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- employee count dropChange between filings · filing Mar 31, 2026employees (Item 5.A) moved from 11.0 to 7.0 (-36.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was 0.0% (152 comparable advisers, 3.0th percentile of changes)peers: other advisers, $1B to $5B (152) · 3.3% percentile
What changed
consecutive filings, newest first
- Accounts · 9 to 8Jan 30, 2026 to Mar 31, 2026
- Advisory employees · 7 to 4Jan 30, 2026 to Mar 31, 2026
- Pooled vehicle clients · 4 to 2Jan 30, 2026 to Mar 31, 2026
- Employees · 11 to 7Jan 30, 2026 to Mar 31, 2026
- State-registered IARs · 2 to 1Jan 30, 2026 to Mar 31, 2026
- Discretionary RAUM · $1.1B to $1.2BJan 30, 2026 to Mar 31, 2026
- Pension RAUM · $101M to $110MJan 30, 2026 to Mar 31, 2026
- Pooled vehicle RAUM · $60.4M to $79.8MJan 30, 2026 to Mar 31, 2026
- RAUM · $1.1B to $1.2BJan 30, 2026 to Mar 31, 2026
- Assets in custody · $1.4M to $0Mar 29, 2024 to Mar 31, 2025
- Custody of client assets · true to falseMar 29, 2024 to Mar 31, 2025
- Employees · 12 to 11Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.2B to $1.1BMar 29, 2024 to Mar 31, 2025
- Pension RAUM · $91.1M to $101MMar 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $389M to $60.4MMar 29, 2024 to Mar 31, 2025
- RAUM · $1.2B to $1.1BMar 29, 2024 to Mar 31, 2025
- Accounts · 10 to 9Mar 31, 2023 to Mar 29, 2024
- Advisory employees · 5 to 7Mar 31, 2023 to Mar 29, 2024
- Pooled vehicle clients · 5 to 4Mar 31, 2023 to Mar 29, 2024
- Assets in custody · $0 to $1.4MMar 31, 2023 to Mar 29, 2024
- Employees · 9 to 12Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $1.1B to $1.2BMar 31, 2023 to Mar 29, 2024
- Pension RAUM · $88.4M to $91.1MMar 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $463M to $389MMar 31, 2023 to Mar 29, 2024
- RAUM · $1.1B to $1.2BMar 31, 2023 to Mar 29, 2024
- Advisory employees · 4 to 5Sep 16, 2022 to Mar 31, 2023
- Pension plan clients · 0 to 1Sep 16, 2022 to Mar 31, 2023
- Pooled vehicle clients · 7 to 5Sep 16, 2022 to Mar 31, 2023
- Assets in custody · $1.5M to $0Sep 16, 2022 to Mar 31, 2023
- Discretionary RAUM · $1.2B to $1.1BSep 16, 2022 to Mar 31, 2023
- Pension RAUM · $0 to $88.4MSep 16, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $685M to $463MSep 16, 2022 to Mar 31, 2023
- RAUM · $1.2B to $1.1BSep 16, 2022 to Mar 31, 2023
- Advisory employees · 5 to 4Apr 19, 2021 to Mar 29, 2022
- Pooled vehicle clients · 5 to 7Apr 19, 2021 to Mar 29, 2022
- Assets in custody · $2.1M to $1.5MApr 19, 2021 to Mar 29, 2022
- Discretionary RAUM · $1.1B to $1.2BApr 19, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $572M to $685MApr 19, 2021 to Mar 29, 2022
- RAUM · $1.1B to $1.2BApr 19, 2021 to Mar 29, 2022
Signals
6 dated events
- Q•••• I••••••••• L•• reported RAUM $1.1B, up 113% from $523.3M (2020-06-18 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- Dianne Descoteaux (Chief Compliance Officer) appeared on Schedule A of Q•••• I••••••••• L••Jun 11, 2020 · Control person joined · fact
- Daniel Raymond Calvano (Chief Compliance Officer) no longer on Schedule A of Q•••• I••••••••• L•• (listed 2020-03-30, absent 2020-06-11)Jun 11, 2020 · Control person left · inference
- Q•••• I••••••••• L•• reported RAUM $523.3M, up 35% from $386.8M (2019-03-28 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Q•••• I••••••••• L•• reported RAUM $386.8M, up 202% from $128.2M (2018-10-17 to 2019-03-28)Mar 28, 2019 · RAUM change · derived
- Q•••• I••••••••• L•• filed its initial SEC registration (Form ADV)Dec 14, 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
- Website
- Q••••INVESTMENTS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 617-514-7340reportedpublic record, Form ADV, Mar 31, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $613Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026