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
C•••••• Q• M••••••••• L••
Latest filing Feb 24, 2026
First filing on the tape Feb 24, 2026 · 1 filings
SEC status approved since Mar 4, 2026
RAUM
$93.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$93.4M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
1 filings and snapshots on the tape
RAUM: $93.4M
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 2
Private funds: 1
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Feb 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $93.4MderivedRAUM 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
- $46.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Custody
- $18.0M, 1 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$18.0M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $18.0M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• E•••• | Maitland, Fl | Jul 13, 2026 | 15 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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••• B•• I•• | Other Private Fund | $18.7M | 1 | Mar 3, 2021 |
| N••••••• R••••••••• B••••• L•••no longer reported | Venture Capital Fund | $1.2M | 1 | Jun 24, 2020 |
| M•••••• I••••••••• S•••••••• L••• | Other Private Fund | $252,196 | 3 | Mar 11, 2020 |
| G••• S•••••••• F••• L•••no longer reported | Venture Capital Fund | $0 | 0 | Aug 7, 2019 |
Owners and control persons
Schedule A and B, latest filing
- Q•••••••• M••••••• P•••••• · Ceocontrolsince 01/2017 · owns less than 5%
- Q•••••••• B••••• V••• · Cco / Coosince 01/2017 · owns less than 5%
Entity owners
- C•••••• Q• V••••••• I••• · Direct Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- C•••••• Q• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- C•••••• Q• M••••••••• L•• · Private Equityshared crd · organization
- C•••••• Q• V••••••• I••• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- capitalqventures.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 407-307-2277reportedpublic record, Form ADV, Feb 24, 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
- $93.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026