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• G••••• F••••• O••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 22, 2018 · 41 filings
SEC status approved since Apr 23, 2018
RAUM
$1.0B
reported, Item 5.F
Discretionary
11%
of RAUM
Private clients
89%
$936M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
41 filings and snapshots on the tape
RAUM$1.0B as of Mar 31, 2026
Mar 19, 2019$337M then
HNW client RAUM$936M as of Mar 31, 2026
Mar 19, 2019$142M then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 19, 20190 then
Employees (5.A)9 as of Mar 31, 2026
Mar 19, 20196 then
Private funds1 as of Mar 26, 2024
Mar 24, 20211 then
RAUM +8.7% over the last fiscal year-8.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Multi-family-office-like · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, average HNW client assets at least $25M, fewer than 200 HNW clients, and business name contains 'family office' or private funds are reported
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $93.6MderivedHNW RAUM over HNW clients
- Average account
- $4.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 11%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$936M89%
- Charitable organizations$112M11%
- Individual clients
- 0reported
- HNW clients
- 10reported
- Pension plan clients
- 0reported
- Charitable clients
- 5reported
- Accounts
- 243reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.11 related_bd=false related_bank=false bd_reps=1.0derived
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
none on the tape
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Q• C•••••••• I• L••no longer reported | Private Equity Fund | $2.2M | 6 | Mar 24, 2021 |
Owners and control persons
Schedule A and B, latest filing
- M••••••••• B••••••• P••• · Chief Investment Officercontrolsince 12/2017 · owns less than 5%
- P•••••• P••••• S•••••• · Chief Executive Officercontrolsince 11/2023 · owns less than 5%
- W•••••• M••••••• J•••• · Chairman Of The Boardcontrolsince 09/2018 · owns 10% to 25%
- L•••••••• K•••• W••••• · Chief Compliance Officer & General Counselsince 09/2024 · owns less than 5%
Entity owners
- Q• G•• H•••••••• L•• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Wayne, PA2 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 31, 2026W•••••• M••••••• J•••• (CHAIRMAN OF THE BOARD) left Schedule A between the filings of 2024-09-13 and 2026-03-31peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Discretionary RAUM · $1.0M to $112MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $857M to $936MMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $963M to $936MMar 31, 2025 to Mar 31, 2026
- RAUM · $964M to $1.0BMar 31, 2025 to Mar 31, 2026
- Financial planning clients · 11-25 to 11-25Jan 8, 2025 to Mar 31, 2025
- Advisory employees · 8 to 5Sep 13, 2024 to Jan 8, 2025
- Advisory activities · 3 to 2Sep 13, 2024 to Jan 8, 2025
- BD registered reps · 0 to 1Sep 13, 2024 to Jan 8, 2025
- Charity clients · 6 to 5Sep 13, 2024 to Jan 8, 2025
- HNW clients · 14 to 10Sep 13, 2024 to Jan 8, 2025
- Pooled vehicle clients · 1 to 0Sep 13, 2024 to Jan 8, 2025
- Assets in custody · 2162061.0 to unsetSep 13, 2024 to Jan 8, 2025
- Custody of client assets · true to falseSep 13, 2024 to Jan 8, 2025
- Employees · 12 to 9Sep 13, 2024 to Jan 8, 2025
- Other offices · 6 to 2Sep 13, 2024 to Jan 8, 2025
- Private funds · 1 to unsetSep 13, 2024 to Jan 8, 2025
- Discretionary RAUM · $2.2M to $1.0MSep 13, 2024 to Jan 8, 2025
- HNW RAUM · $1.4B to $857MSep 13, 2024 to Jan 8, 2025
- Non-discretionary RAUM · $1.5B to $963MSep 13, 2024 to Jan 8, 2025
- Pooled vehicle RAUM · $2.2M to $0Sep 13, 2024 to Jan 8, 2025
- RAUM · $1.5B to $964MSep 13, 2024 to Jan 8, 2025
- Advisory employees · 6 to 8May 3, 2024 to Jul 26, 2024
- Employees · 10 to 12May 3, 2024 to Jul 26, 2024
- Advisory employees · 7 to 6Apr 29, 2024 to May 3, 2024
- Employees · 11 to 10Apr 29, 2024 to May 3, 2024
- Accounts · 197 to 243Apr 5, 2023 to Mar 26, 2024
- HNW clients · 12 to 14Apr 5, 2023 to Mar 26, 2024
- Assets in custody · $2.1M to $2.2MApr 5, 2023 to Mar 26, 2024
- Discretionary RAUM · $2.1M to $2.2MApr 5, 2023 to Mar 26, 2024
- HNW RAUM · $1.2B to $1.4BApr 5, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $1.3B to $1.5BApr 5, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $2.1M to $2.2MApr 5, 2023 to Mar 26, 2024
- RAUM · $1.3B to $1.5BApr 5, 2023 to Mar 26, 2024
- Accounts · 205 to 197Jan 19, 2023 to Mar 24, 2023
- Charity clients · 5 to 6Jan 19, 2023 to Mar 24, 2023
- HNW clients · 11 to 12Jan 19, 2023 to Mar 24, 2023
- Assets in custody · $1.9M to $2.1MJan 19, 2023 to Mar 24, 2023
- Other offices · 5 to 6Jan 19, 2023 to Mar 24, 2023
- Discretionary RAUM · $1.9M to $2.1MJan 19, 2023 to Mar 24, 2023
- HNW RAUM · $813M to $1.2BJan 19, 2023 to Mar 24, 2023
Signals
19 dated events
- Q• G••••• F••••• O••••••• L•• reported RAUM $964.0M, down 35% from $1.5B (2024-09-13 to 2025-01-08)Jan 8, 2025 · RAUM change · derived
- Nmn H•••• S••• (Chief Compliance Officer & Chief Legal Officer) no longer on Schedule A of Q• G••••• F••••• O••••••• L•• (listed 2024-09-06, absent 2024-09-13)Sep 13, 2024 · Control person left · inference
- Stephen Timothy Hall (Head Of Family Office Services) no longer on Schedule A of Q• G••••• F••••• O••••••• L•• (listed 2024-07-26, absent 2024-09-06)Sep 6, 2024 · Control person left · inference
- Louis Alexander Herman (Head Of Family Wealth Strategies) no longer on Schedule A of Q• G••••• F••••• O••••••• L•• (listed 2024-07-26, absent 2024-09-06)Sep 6, 2024 · Control person left · inference
- Henry David Ward (Chief Operating Officer) no longer on Schedule A of Q• G••••• F••••• O••••••• L•• (listed 2024-07-26, absent 2024-09-06)Sep 6, 2024 · Control person left · inference
- Stephen Timothy Hall (Family Office President) appeared on Schedule A of Q• G••••• F••••• O••••••• L••Apr 5, 2023 · Control person joined · fact
- Louis Alexander Herman (Head Of Family Wealth Strategies) appeared on Schedule A of Q• G••••• F••••• O••••••• L••Apr 5, 2023 · Control person joined · fact
- Henry David Ward (Chief Operating Officer) appeared on Schedule A of Q• G••••• F••••• O••••••• L••Apr 5, 2023 · Control person joined · fact
- Sanford Peter Pauley (Family Office President) appeared on Schedule A of Q• G••••• F••••• O••••••• L••Apr 5, 2023 · Control person joined · fact
- Paul Brendan Macmillan (Chief Investment Officer) appeared on Schedule A of Q• G••••• F••••• O••••••• L••Apr 5, 2023 · Control person joined · fact
- Q• G••••• F••••• O••••••• L•• reported RAUM $1.3B, up 42% from $951.8M (2023-01-19 to 2023-03-24)Mar 24, 2023 · RAUM change · derived
- Q• G••••• F••••• O••••••• L•• reported RAUM $826.5M, up 43% from $577.7M (2021-01-21 to 2021-03-24)Mar 24, 2021 · RAUM change · derived
- P•••••• G•••• (Chief Philanthropy & Social Impact Officer) no longer on Schedule A of Q• G••••• F••••• O••••••• L•• (listed 2020-06-25, absent 2020-07-01)Jul 1, 2020 · Control person left · inference
- Q• G••••• F••••• O••••••• L•• reported RAUM $577.7M, up 71% from $337.3M (2020-01-09 to 2020-03-16)Mar 16, 2020 · RAUM change · derived
- Henry David Ward (Chief Operating Officer) no longer on Schedule A of Q• G••••• F••••• O••••••• L•• (listed 2020-01-09, absent 2020-03-16)Mar 16, 2020 · Control person left · inference
- Sanford Peter Pauley (Chief Executive Officer) no longer on Schedule A of Q• G••••• F••••• O••••••• L•• (listed 2020-01-09, absent 2020-03-16)Mar 16, 2020 · Control person left · inference
- Paul Brenden Macmillian (Chief Investment Officer) no longer on Schedule A of Q• G••••• F••••• O••••••• L•• (listed 2020-01-09, absent 2020-03-16)Mar 16, 2020 · Control person left · inference
- James Michael Warren (Chairman Of The Board) appeared on Schedule A of Q• G••••• F••••• O••••••• L••Mar 20, 2019 · Control person joined · fact
- Q• G••••• F••••• O••••••• L•• filed its initial SEC registration (Form ADV)Mar 22, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Q• G••••• F••••• O••••••• L•• · Family Officesshared crd · office
- Q• G••••• F••••• O••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 646-828-8883reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- QP-GLOBAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 646-828-8883reportedpublic 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
- Independent wealth managerderiveda 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