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.

Former SEC-registered adviser

Alpha Quant Advisors, LLC

Former SEC-registered adviserIrving, TexasCRD 285855SEC 801-108673IAPD
Latest filing Mar 26, 2020
First filing on the tape Nov 9, 2016 · 10 filings
RAUM
$100M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
35%
$34.7M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$100M as of Mar 26, 2020
Mar 30, 2017$99.9M then
HNW client RAUM$33.5M as of Mar 26, 2020
Mar 30, 2018$23.3M then
State-registered IARs (5.B.3)3 as of Mar 26, 2020
Mar 30, 20173 then
Employees (5.A)10 as of Mar 26, 2020
Mar 30, 201710 then
Private funds: no history
RAUM +3.6% over the last fiscal year+0.1% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 26, 2020; every figure names its basis
RAUM per advisor
$33.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.6MderivedHNW RAUM over HNW clients
Average account
$725,396derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.3derivedItem 5.A over advisors
Advisors per office
1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+3.6%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, otherreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
Ownership
a PE fund or sponsor is a 25 percent or greater owner 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$33.5M33%
  • Other investment advisers$28.2M28%
  • Investment companies$14.7M15%
  • Corporations and businesses$10.7M11%
  • Charitable organizations$9.9M9.9%
  • Pension and profit-sharing plans$2.0M2.0%
  • Individuals$1.1M1.1%
Individual clients
n/areported
HNW clients
21reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
138reported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
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
  • Louis Gene Needles · Chief Executive Officer, Directorcontrol
    since 10/2016 · owns less than 5%
  • K Jeffrey Ringdahl · Chief Operating Officer, Directorcontrol
    since 10/2016 · owns less than 5%
  • Massimo Santicchia · Chief Investment Officer, Directorcontrol
    since 10/2016 · owns 10% to 25%
  • Kavanaugh Rosemary Behan · General Counsel
    since 10/2016 · owns less than 5%
  • Morales Regina Castro · Chief Compliance Officer
    since 02/2019 · owns less than 5%
  • Michelle Katherine Gallagher · Member
    since 10/2016 · owns 10% to 25%
  • Gay Melinda Heika · Chief Financial Officer
    since 10/2016 · owns less than 5%
  • Elaine Christina Sears · Vice President
    since 10/2016 · owns less than 5%
Entity owners
  • Resolute Investment Managers, Inc. · Member
    direct · owns 50% to 75%
  • Kelso Gp Viii, L.P. · General Partner
    indirect · owns F of Kelso Investment Associates Viii, L.P
  • Kelso Gp Viii, LLC · General Partner
    indirect · owns F of Kelso Gp Viii, L.P.
  • Kelso Investment Associates Viii, L.P · Shareholder
    indirect · owns 50% to 75% of Resolute Investment Holdings, LLC
  • Resolute Acquisition, Inc. · Shareholder
    indirect · owns 75% or more of Resolute Investment Managers, Inc.
  • Resolute Investment Holdings, LLC · Shareholder
    indirect · owns 75% or more of Resolute Topco, Inc
  • Resolute Topco, Inc · Shareholder
    indirect · owns 75% or more of Resolute Acquisition, Inc.
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
  • West Palm Beach, FL2 employees
What changed
consecutive filings, newest first
  • Accounts · 134 to 138
    Aug 7, 2019 to Mar 26, 2020
  • HNW clients · 13 to 21
    Aug 7, 2019 to Mar 26, 2020
  • Discretionary RAUM · $96.6M to $100M
    Aug 7, 2019 to Mar 26, 2020
  • HNW RAUM · $30.1M to $33.5M
    Aug 7, 2019 to Mar 26, 2020
  • Individual RAUM · $983,236 to $1.1M
    Aug 7, 2019 to Mar 26, 2020
  • Pension RAUM · $1.2M to $2.0M
    Aug 7, 2019 to Mar 26, 2020
  • RAUM · $96.6M to $100M
    Aug 7, 2019 to Mar 26, 2020
  • Accounts · 138 to 134
    Jun 11, 2018 to Mar 28, 2019
  • HNW clients · 12 to 13
    Jun 11, 2018 to Mar 28, 2019
  • Assets in custody · 3533657.0 to unset
    Jun 11, 2018 to Mar 28, 2019
  • Custody of client assets · true to false
    Jun 11, 2018 to Mar 28, 2019
  • Discretionary RAUM · $97.6M to $96.6M
    Jun 11, 2018 to Mar 28, 2019
  • HNW RAUM · $23.3M to $30.1M
    Jun 11, 2018 to Mar 28, 2019
  • Individual RAUM · $1.6M to $983,236
    Jun 11, 2018 to Mar 28, 2019
  • Pension RAUM · unset to 1230195.0
    Jun 11, 2018 to Mar 28, 2019
  • RAUM · $97.6M to $96.6M
    Jun 11, 2018 to Mar 28, 2019
  • BD registered reps · 3 to 4
    Mar 31, 2017 to Mar 30, 2018
  • HNW clients · unset to 12.0
    Mar 31, 2017 to Mar 30, 2018
  • Assets in custody · unset to 3533657.0
    Mar 31, 2017 to Mar 30, 2018
  • Custody of client assets · false to true
    Mar 31, 2017 to Mar 30, 2018
  • Other offices · unset to 1.0
    Mar 31, 2017 to Mar 30, 2018
  • Discretionary RAUM · $79.5M to $97.6M
    Mar 31, 2017 to Mar 30, 2018
  • HNW RAUM · unset to 23284203.0
    Mar 31, 2017 to Mar 30, 2018
  • Individual RAUM · unset to 1586792.0
    Mar 31, 2017 to Mar 30, 2018
  • Non-discretionary RAUM · $20.4M to $0
    Mar 31, 2017 to Mar 30, 2018
  • RAUM · $99.9M to $97.6M
    Mar 31, 2017 to Mar 30, 2018
  • Related broker-dealer · false to true
    Mar 31, 2017 to Mar 30, 2018
  • Wrap assets (manager) · unset to 0.0
    Mar 31, 2017 to Mar 30, 2018
  • Wrap assets (sponsor) · unset to 0.0
    Mar 31, 2017 to Mar 30, 2018
  • Accounts · 131 to 138
    Nov 9, 2016 to Mar 30, 2017
  • Advisory activities · 3 to 4
    Nov 9, 2016 to Mar 30, 2017
  • BD registered reps · 1 to 3
    Nov 9, 2016 to Mar 30, 2017
  • Employees · 9 to 10
    Nov 9, 2016 to Mar 30, 2017
  • Discretionary RAUM · $81.9M to $79.5M
    Nov 9, 2016 to Mar 30, 2017
  • Non-discretionary RAUM · $3.8M to $20.4M
    Nov 9, 2016 to Mar 30, 2017
  • RAUM · $85.8M to $99.9M
    Nov 9, 2016 to Mar 30, 2017
  • Succession · true to false
    Nov 9, 2016 to Mar 30, 2017
Signals
2 dated events
  • Alpha Quant Advisors, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Nov 9, 2016 · Succession (Item 4) · fact
  • Alpha Quant Advisors, Llc filed its initial SEC registration (Form ADV)
    Nov 9, 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