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••••••••• P••••••• L••
Latest filing Jul 28, 2026
First filing on the tape Jan 15, 2018 · 18 filings
SEC status approved since Feb 14, 2018
RAUM
$9.0B
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$3.0B
derived; firm RAUM over IAPD count
Employees
25
15 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
20
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$9.0B as of Jul 28, 2026
Feb 25, 2019$519M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 28, 2026
Feb 25, 20190 then
Employees (5.A)25 as of Jul 28, 2026
Feb 25, 20198 then
Private funds20 as of Jul 28, 2026
Feb 25, 20192 then
RAUM +30% over the last fiscal year+39% a year over threeIARs 0 to 0offices 0 to 1
Practice profile
derived from the filing of Jul 28, 2026; every figure names its basis
- RAUM per advisor
- $3.0BderivedRAUM 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
- $448MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 8.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +30%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 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
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$8.9B99%
- Corporations and businesses$49.7M0.6%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 20reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.99 institutional_share=0.0 related_bd=true related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• A••••• S••••••••• | Isle Of Capri | Mar 5, 2024 | 10 y | 1 |
| J••• E••••• L•••• | New York, Ny | Mar 28, 2024 | 20 y | 0 |
| R••• J••• Q•••••• | London | Mar 28, 2024 | 11 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
13 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- Q••••••• R•••• J••• · Managing Partnercontrolsince 12/2016 · owns less than 5%
- S••••••••• D••••• A••••• · Managing Partnercontrolsince 12/2016 · owns less than 5%
- Q••••••• R•••• J••• · Shareholdercontrolsince 08/2016 · owns 75% or more of K•••• C•••••• L••••••
- S••••••••• D••••• A••••• · Beneficiary Of Trustcontrolsince 04/2012 · owns 75% or more of C•• C•••••• M••••••••• P•• L•••••• As Trustee Of Scaysbrook Clean Energy Trust
- C•••••• D•••••• N•• · General Counselsince 03/2021 · owns less than 5%
- L••••• J•••• E••••• · Managing Directorsince 01/2024 · owns less than 5%
- P•••••• S••••• · Chief Financial Officersince 05/2023 · owns less than 5%
- S•••• S••••••• L•••• · Chief Compliance Officersince 01/2024 · owns less than 5%
Entity owners
- Q•••••••• I••••••••• P••••••• ••••••• L•••••• · Shareholderdirect · owns 75% or more
- C•• C•••••• M••••••••• P•• L•••••• · Shareholderindirect · owns 50% to 75% of Q•••••••• H••••••• L••••••
- K•••• C•••••• L•••••• · Shareholderindirect · owns 50% to 75% of Q•••••••• H••••••• L••••••
- Q•••••••• H••••••• L•••••• · Shareholderindirect · owns 75% or more of Q•••••••• I••••••••• P••••••• ••••••• L••••••
Related persons
Schedule D 7.A
- Q•••••••• C•••••• P••••••• L••broker-dealern
- Q•••••••• I••••••••• P••••••• •••• L••••••pooled vehicle sponsorn
- Q•••••••• I••••••••• P••••••• •••• L••••••pooled vehicle sponsorn
- Q•••••••• I••••••••• P••••••• •••• L••••••pooled vehicle sponsorn
- Q•••••••• I••••••••• P••••••• •••• L••pooled vehicle sponsorn
- Q•••••••• I••••••••• P••••••• ••••••• L••••••investment advisery
- Q•••••••• I••••••••• P••••••• L••••••investment advisern
- Q•••••••• I••••••••• P••••••• P•• L••••••investment advisern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Jul 28, 2026discretionary share of RAUM of 0% against a peer median of 100% (684 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: asset managers, $5B to $20B (684) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 17 to 20Jan 7, 2026 to Mar 30, 2026
- Advisory employees · 10 to 15Jan 7, 2026 to Mar 30, 2026
- Pooled vehicle clients · 16 to 19Jan 7, 2026 to Mar 30, 2026
- Employees · 20 to 25Jan 7, 2026 to Mar 30, 2026
- Private funds · 17 to 20Jan 7, 2026 to Mar 30, 2026
- Non-discretionary RAUM · $6.9B to $9.0BJan 7, 2026 to Mar 30, 2026
- Pooled vehicle RAUM · $6.8B to $8.9BJan 7, 2026 to Mar 30, 2026
- RAUM · $6.9B to $9.0BJan 7, 2026 to Mar 30, 2026
- Advisory employees · 12 to 10Mar 31, 2025 to Jul 8, 2025
- Financial planning clients · unset to Mar 31, 2025 to Jul 8, 2025
- HQ city · HOUSTON to NEW YORKMar 31, 2025 to Jul 8, 2025
- HQ state · TX to NYMar 31, 2025 to Jul 8, 2025
- Other offices · 0 to 1Mar 31, 2025 to Jul 8, 2025
- Accounts · 13 to 17Dec 12, 2024 to Mar 31, 2025
- Pooled vehicle clients · 13 to 16Dec 12, 2024 to Mar 31, 2025
- Private funds · 13 to 17Dec 12, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $4.8B to $6.9BDec 12, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $4.8B to $6.8BDec 12, 2024 to Mar 31, 2025
- RAUM · $4.8B to $6.9BDec 12, 2024 to Mar 31, 2025
- Advisory employees · 6 to 12Jan 22, 2024 to Mar 28, 2024
- Employees · 16 to 20Jan 22, 2024 to Mar 28, 2024
- Private funds · 9 to 13Jan 22, 2024 to Mar 28, 2024
- Non-discretionary RAUM · $3.3B to $4.8BJan 22, 2024 to Mar 28, 2024
- Pooled vehicle RAUM · $3.3B to $4.8BJan 22, 2024 to Mar 28, 2024
- RAUM · $3.3B to $4.8BJan 22, 2024 to Mar 28, 2024
- Accounts · 9 to 13Jan 24, 2023 to Apr 3, 2023
- Pooled vehicle clients · 9 to 13Jan 24, 2023 to Apr 3, 2023
- Employees · 14 to 16Jan 24, 2023 to Apr 3, 2023
- Private funds · 7 to 9Jan 24, 2023 to Apr 3, 2023
- Non-discretionary RAUM · $2.5B to $3.3BJan 24, 2023 to Apr 3, 2023
- Pooled vehicle RAUM · $2.5B to $3.3BJan 24, 2023 to Apr 3, 2023
- RAUM · $2.5B to $3.3BJan 24, 2023 to Apr 3, 2023
- Accounts · 4 to 9Nov 1, 2021 to Mar 31, 2022
- Advisory employees · 5 to 6Nov 1, 2021 to Mar 31, 2022
- Pooled vehicle clients · 4 to 9Nov 1, 2021 to Mar 31, 2022
- Employees · 9 to 14Nov 1, 2021 to Mar 31, 2022
- Private funds · 2 to 7Nov 1, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $1.1B to $2.5BNov 1, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $1.1B to $2.5BNov 1, 2021 to Mar 31, 2022
- RAUM · $1.1B to $2.5BNov 1, 2021 to Mar 31, 2022
Signals
8 dated events
- Q•••••••• I••••••••• P••••••• L•• reported RAUM $9.0B, up 30% from $6.9B (2026-01-07 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- Q•••••••• I••••••••• P••••••• L•• reported RAUM $6.9B, up 42% from $4.8B (2024-12-12 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- Q•••••••• I••••••••• P••••••• L•• reported RAUM $4.8B, up 45% from $3.3B (2024-01-22 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Q•••••••• I••••••••• P••••••• L•• reported RAUM $3.3B, up 35% from $2.5B (2023-01-24 to 2023-04-03)Apr 3, 2023 · RAUM change · derived
- Q•••••••• I••••••••• P••••••• L•• reported RAUM $2.5B, up 126% from $1.1B (2021-11-01 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Q•••••••• I••••••••• P••••••• L•• reported RAUM $1.1B, up 103% from $519.0M (2019-02-25 to 2020-03-27)Mar 27, 2020 · RAUM change · derived
- Q•••••••• I••••••••• P••••••• L•• reported RAUM $519.0M, up 63% from $318.0M (2018-10-15 to 2019-02-25)Feb 25, 2019 · RAUM change · derived
- Q•••••••• I••••••••• P••••••• L•• filed its initial SEC registration (Form ADV)Jan 15, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Q•••••••• I••••••••• P••••••• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Website
- Q••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 646 574 8303reportedpublic record, Form ADV, Jul 28, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $3.0Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026