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Former SEC-registered adviser

Q••••••••• G•••

Former SEC-registered adviserGrunwald, CRD 304172SEC 801-117149IAPD
Latest filing Dec 1, 2020
First filing on the tape Jul 11, 2019 · 7 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
16
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Dec 1, 2020
Jul 11, 20190 then
Employees (5.A)16 as of Dec 1, 2020
Jul 11, 201916 then
Private funds: no history
Practice profile
derived from the filing of Dec 1, 2020; every figure names its basis
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
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, subscription, performance-basedreportedItem 5.E
Advisory activities
otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • M•••••• M••••••• N•• · Chief Financial Officer / Chief Compliance Officercontrol
        since 06/2018 · owns 10% to 25%
      • T•••••• S•••••• N•• · Chief Executive Officercontrol
        since 06/2018 · owns 25% to 50%
      • B•••••• V•••••• N•• · Investment Officer / Owner
        since 06/2018 · owns less than 5%
      • G•••• R••••• · Chief Technology Officer
        since 04/2016 · owns less than 5%
      • L••••• D••••• · Owner
        since 11/2019 · owns 10% to 25%
      • M•••••• Y••••••• N•• · Owner
        since 06/2018 · owns 5% to 10%
      Entity owners
      • T••• G••••• V••••••• 4•••• F••• P•• L••• · Owner
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Business name · R••• W••••• T••••••••• G••• to Q••••••••• G•••
        Nov 26, 2020 to Nov 26, 2020
      • Legal name · R••• W••••• T••••••••• G••• to Q••••••••• G•••
        Nov 26, 2020 to Nov 26, 2020
      Signals
      1 dated events
      • ••• Locked
        Jul 11, 2019 · 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