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• A••••••• L••

Independent wealth managerCRD 297438SEC 801-132594websiteIAPD
Latest filing Mar 25, 2026
First filing on the tape Apr 16, 2025 · 2 filings
SEC status approved since Apr 17, 2025
RAUM
$140M
reported, Item 5.F
Discretionary
86%
of RAUM
Private clients
77%
$107M individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$14.0M
derived; firm RAUM over IAPD count
Employees
9
9 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
1
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$140M as of Mar 25, 2026
Apr 16, 2025$118M then
HNW client RAUM$80.5M as of Mar 25, 2026
Apr 16, 2025$71.2M then
State-registered IARs (5.B.3)9 as of Mar 25, 2026
Apr 16, 20259 then
Employees (5.A)9 as of Mar 25, 2026
Apr 16, 20259 then
Private funds1 as of Mar 25, 2026
Apr 16, 20251 then
RAUM +19% over the last fiscal yearIARs 9 to 9
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
Archetypes, each a printed rule
  • HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
  • Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
  • RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
RAUM per advisor
$14.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
15derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.3MderivedHNW RAUM over HNW clients
Average account
$870,133derivedRAUM over accounts (5.F.2.f)
Discretionary
86%derivedof RAUM
Institutional
14%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
0.9derivedItem 5.A over advisors
Advisors per office
3.3derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+19%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.7%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for pooled vehicles, pension consultingreportedItem 5.G
Custody
$10.0M, 14 clientsreportedItem 9.A
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$80.5M57%
  • Individuals$26.8M19%
  • Pension and profit-sharing plans$20.0M14%
  • Pooled investment vehicles$12.8M9.1%
  • Charitable organizations$61,5620.0%
Individual clients
91reported
HNW clients
63reported
Pension plan clients
4reported
Charitable clients
1reported
Accounts
161reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$10.0M for 14 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.77 fund_share=0.09 institutional_share=0.14 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
D•••• M•••••• S••••••Peachtree City, GaJul 12, 201826 y3
D••••• R•••••• H•••Peachtree City, GaSep 21, 201827 y2
J•••••• J•••• C•••••Peachtree City, Ga Apr 9, 201929 y0
J••• E••• B•••••Peachtree City, Ga May 8, 201910 y1
A••••• J• T••••••Certified Financial PlannerPeachtree City, GaNov 8, 201920 y4
H••••• T•••• G••Peachtree City, GaJan 28, 202011 y2
J••••• O••••• E••••••Peachtree City, GaApr 20, 202321 y1
J••••• S• Y•••Certified Financial PlannerPeachtree City, Ga May 14, 202426 y5
J••• P••••• D•••••Certified Financial PlannerPeachtree City, GaDec 18, 202413 y4
D•••• R•• O•••••Peachtree City, GaMay 15, 202620 y0
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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • S••••••• D••••• M•••••• · Chief Compliance Officercontrol
    since 05/2018 · owns less than 5%
Entity owners
  • 1••• C•••••• L•• · Member
    direct · owns 50% to 75%
  • S•••••• F•••••••• L•• · Member
    direct · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Peachtree City, Ga1010
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 159 to 161
    Apr 16, 2025 to Mar 25, 2026
  • HNW clients · 59 to 63
    Apr 16, 2025 to Mar 25, 2026
  • Individual clients · 94 to 91
    Apr 16, 2025 to Mar 25, 2026
  • Pooled vehicle clients · 1 to 2
    Apr 16, 2025 to Mar 25, 2026
  • Assets in custody · $5.2M to $10.0M
    Apr 16, 2025 to Mar 25, 2026
  • Discretionary RAUM · $103M to $120M
    Apr 16, 2025 to Mar 25, 2026
  • HNW RAUM · $71.2M to $80.5M
    Apr 16, 2025 to Mar 25, 2026
  • Individual RAUM · $26.3M to $26.8M
    Apr 16, 2025 to Mar 25, 2026
  • Non-discretionary RAUM · $15.4M to $20.0M
    Apr 16, 2025 to Mar 25, 2026
  • Pension RAUM · $15.4M to $20.0M
    Apr 16, 2025 to Mar 25, 2026
  • Pooled vehicle RAUM · $5.2M to $12.8M
    Apr 16, 2025 to Mar 25, 2026
  • RAUM · $118M to $140M
    Apr 16, 2025 to Mar 25, 2026
Signals
1 dated events
  • J••• P••••• D••••• left Q• A••••••• L•• for G••••••• A•••••••• L•• (registered 2023-08-01)
    Nov 8, 2022 · Advisor changed firm · 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
qm-advisors.comreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone
404-965-3578reportedpublic record, Form ADV, Mar 25, 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
$14.0Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026