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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Former SEC-registered adviser
Q•••••••••
Legal name Q••••••••• L••
Latest filing Mar 30, 2022
First filing on the tape Aug 21, 2019 · 9 filings
RAUM
$27,599
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$27,599 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$27,599 as of Mar 30, 2022
Mar 17, 2020$51,500 then
HNW client RAUM$26,650 as of Mar 30, 2022
Mar 17, 2020$50,000 then
State-registered IARs (5.B.3)1 as of Mar 30, 2022
Mar 17, 20201 then
Employees (5.A)2 as of Mar 30, 2022
Mar 17, 20202 then
Private funds: no history
RAUM +7.5% over the last fiscal yearIARs 1 to 1offices 1 to 0
Practice profile
derived from the filing of Mar 30, 2022; every figure names its basis
- RAUM per advisor
- $27,599derivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 3derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $26,650derivedHNW RAUM over HNW clients
- Average account
- $9,200derivedRAUM 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
- +7.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$26,65097%
- Individuals$9493.4%
- Individual clients
- 2reported
- HNW clients
- 1reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 3reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• E•••• J•••• · Presidentcontrolsince 08/2019 · owns less than 5%
- H•••••• A•••• P••••• · Chief Compliance Officer And Chief Executive Officercontrolsince 10/2019 · owns less than 5%
- C•••••••• E•••• J•••• · Shareholder; Presidentcontrolsince 08/2019 · owns 25% to 50% of A• S•••••• I•••
- H•••••• A•••• P••••• · Shareholder; Chief Executive Officercontrolsince 08/2019 · owns 25% to 50% of A• S•••••• I•••
Entity owners
- A• S•••••• I••• · Managing Memberdirect · 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
- Discretionary RAUM · $25,680 to $27,599Aug 26, 2021 to Mar 30, 2022
- HNW RAUM · $24,679 to $26,650Aug 26, 2021 to Mar 30, 2022
- Individual RAUM · $1,001 to $949Aug 26, 2021 to Mar 30, 2022
- RAUM · $25,680 to $27,599Aug 26, 2021 to Mar 30, 2022
- HQ city · unset to NEW YORKMar 24, 2021 to Aug 26, 2021
- HQ state · unset to NYMar 24, 2021 to Aug 26, 2021
- Other offices · 1 to 0Mar 24, 2021 to Aug 26, 2021
- Discretionary RAUM · $51,500 to $25,680Jun 25, 2020 to Mar 24, 2021
- HNW RAUM · $50,000 to $24,679Jun 25, 2020 to Mar 24, 2021
- Individual RAUM · $1,500 to $1,001Jun 25, 2020 to Mar 24, 2021
- RAUM · $51,500 to $25,680Jun 25, 2020 to Mar 24, 2021
- Accounts · 0 to 3Nov 4, 2019 to Mar 17, 2020
- HNW clients · 0 to 1Nov 4, 2019 to Mar 17, 2020
- Individual clients · 0 to 2Nov 4, 2019 to Mar 17, 2020
- Discretionary RAUM · $0 to $51,500Nov 4, 2019 to Mar 17, 2020
- HNW RAUM · $0 to $50,000Nov 4, 2019 to Mar 17, 2020
- Individual RAUM · $0 to $1,500Nov 4, 2019 to Mar 17, 2020
- RAUM · $0 to $51,500Nov 4, 2019 to Mar 17, 2020
- Business name · Q••••••••• L•• to Q•••••••••Aug 21, 2019 to Aug 26, 2019
Signals
1 dated events
- Q••••••••• L•• filed its initial SEC registration (Form ADV)Aug 21, 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