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.

SEC-registered adviser

Quincy Wells Advisors, LLC

Independent wealth managerChicago, IllinoisCRD 307477SEC 801-118231IAPD
Latest filing Mar 31, 2026
First filing on the tape Feb 13, 2020 · 30 filings
SEC status approved since Mar 16, 2020
RAUM
$87.3M
reported, Item 5.F
Discretionary
46%
of RAUM
Private clients
89%
$77.8M individuals and HNW
Advisors
31
registered through the firm on IAPD
RAUM per advisor
$2.8M
derived; firm RAUM over IAPD count
Employees
22
20 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$87.3M as of Mar 31, 2026
Mar 31, 2021$107M then
HNW client RAUM$37.3M as of Mar 31, 2026
Mar 31, 2021$107M then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 31, 20200 then
Employees (5.A)22 as of Mar 31, 2026
Mar 31, 20203 then
Private funds: no history
RAUM +94% over the last fiscal year+64% a year over threeIARs 0 to 0offices 0 to 6
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
  • Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
RAUM per advisor
$2.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
8derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.9MderivedHNW RAUM over HNW clients
Average account
$215,140derivedRAUM over accounts (5.F.2.f)
Discretionary
46%derivedof RAUM
Institutional
11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
0.7derivedItem 5.A over advisors
Advisors per office
4.6derived7 offices incl. principal (1.F.5)
RAUM growth, one year
+94%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+218%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 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
  • is a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$40.5M46%
  • High-net-worth individuals$37.3M43%
  • Pension and profit-sharing plans$9.5M11%
  • Corporations and businesses$81,3600.1%
Individual clients
232reported
HNW clients
13reported
Pension plan clients
1reported
Charitable clients
0reported
Accounts
406reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.89 fund_share=0.0 institutional_share=0.11 related_bd=true related_bank=false bd_reps=20.0derived
Advisors registered through the firm
31 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Keegan De SilvaChicago, IlJan 7, 202210 y1
Reed HaimsonCertified Financial PlannerCollege Grove, Tn Jan 7, 202218 y3
Scott David CarlCertified Financial PlannerJacksonville, Fl Jan 10, 202218 y7
John Peter FerrickChicago, IlJan 10, 202219 y5
James Patrick LynchChicago, IlJan 11, 202232 y9
James David BeaudoinElm Grove, Wi Jan 16, 202428 y4
Jonathan FrameChicago, Il Mar 28, 202427 y3
Stephen T GlasgowMurray, Ky Jan 9, 202525 y9
Nichole Elizabeth ShadowChicago, Il Aug 26, 202510 y0
Brenna Reid WintersScottsdale, Az Jan 13, 202625 y1
Peter Henry KarnowskiChicago, IlMar 27, 202621 y11
James Michael RichardWooster, Oh Mar 27, 202624 y8
Christopher Robert BurnsChicago, Il Mar 27, 202611 y1
John Fielding CriglerChartered Financial ConsultantChicago, Il Mar 27, 202640 y3
Phillip Wade ParkerPlano, Tx Mar 27, 202640 y4
Curtis Jerome SathreChicago, Il Mar 27, 202632 y3
Charles Bryant KerkerDelmar, Ny Mar 31, 202641 y1
Jeffrey Antonio GarciaHilton, Ny Mar 31, 202621 y6
Royce Lee CannonCertified Financial PlannerChicago, Il Apr 2, 202634 y4
Clemont Lee BevillHopkinsville, Ky Apr 2, 202638 y8
Paul Eric HogensonParadise Valley, Az Apr 7, 202610 y2
Daniel Wade WilliamsChicago, Il Apr 16, 202619 y4
Karl Wolfgang SuessChicago, Il Apr 29, 202610 y4
Peter Alexander KitzerowChartered Financial ConsultantMonroe, Nc May 7, 202627 y9
Donald Troy ViethChicago, Il Jun 17, 202620 y3
Peyton Graham CulbersonChicago, IlJul 23, 202612 y2
John Churchill DevineSan Francisco, Ca Aug 6, 202612 y0
Demetrios G LimperopoulosRye Brook, Ny Aug 14, 202611 y1
Janessa CarrilloChicago, IlAug 24, 202610 y0
Ashton James GondeckChicago, IlAug 24, 202610 y0
Robert S WieseChicago, Il Sep 14, 202619 y6
Advisor movement
6 left, 4 joined in 12 months
net -2 in 12 months1 left in 90 days2 joined in 90 daysdeparture rate 19% of current headcount6 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Valerie Cummins · Managing Director Of Ria Operationscontrol
    since 05/2023 · owns less than 5%
  • Jonathan Frame · Chief Compliance Officercontrol
    since 03/2024 · owns less than 5%
  • Henry Peter Karnowski · Officercontrol
    since 01/2020 · owns less than 5%
  • Paul John Neppel · Officercontrol
    since 01/2020 · owns less than 5%
  • Edward Arthur Herrmann · Managing Membercontrol
    since 08/2000 · owns 50% to 75% of Great Point Trading LLC
  • Christian John Moore · Managing Membercontrol
    since 08/2000 · owns 50% to 75% of Great Point Trading LLC
Entity owners
  • Great Point Trading LLC · Member
    direct · owns 75% or more
Related persons
Schedule D 7.A
Advisers that list Quincy Wells Advisors, LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Chicago, Il · principal31221
Edina, Mn001
Lucas, Tx001
Mayflower Mtn, Ut001
Northfield, Mn001
Rockwall, Tx001
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
  • discretionary share shiftChange between filings · filing Mar 31, 2026
    discretionary share of RAUM moved from 0.0% to 46.0% between the annual amendments of 2025-03-27 and 2026-03-31
    peers: independent wealth managers, under $100M (704)
  • HNW share shiftChange between filings · filing Mar 31, 2026
    HNW share of RAUM moved from 59.0% to 43.0% between the annual amendments of 2025-03-27 and 2026-03-31
    peers: independent wealth managers, under $100M (704)
How anomalies are measured
What changed
consecutive filings, newest first
  • Accounts · 149 to 406
    Jan 30, 2026 to Mar 31, 2026
  • HNW clients · 19 to 13
    Jan 30, 2026 to Mar 31, 2026
  • Individual clients · 58 to 232
    Jan 30, 2026 to Mar 31, 2026
  • Pension plan clients · 0 to 1
    Jan 30, 2026 to Mar 31, 2026
  • Other offices · 0 to 6
    Jan 30, 2026 to Mar 31, 2026
  • Discretionary RAUM · $0 to $40.0M
    Jan 30, 2026 to Mar 31, 2026
  • HNW RAUM · $26.7M to $37.3M
    Jan 30, 2026 to Mar 31, 2026
  • Individual RAUM · $18.3M to $40.5M
    Jan 30, 2026 to Mar 31, 2026
  • Non-discretionary RAUM · $45.1M to $47.4M
    Jan 30, 2026 to Mar 31, 2026
  • Pension RAUM · $0 to $9.5M
    Jan 30, 2026 to Mar 31, 2026
  • RAUM · $45.1M to $87.3M
    Jan 30, 2026 to Mar 31, 2026
  • Business name · GREAT POINT ADVISORS, LLC to QUINCY WELLS ADVISORS, LLC
    Mar 27, 2025 to Nov 4, 2025
  • Legal name · GREAT POINT ADVISORS, LLC to QUINCY WELLS ADVISORS, LLC
    Mar 27, 2025 to Nov 4, 2025
  • Accounts · 88 to 149
    Dec 23, 2024 to Mar 27, 2025
  • Charity clients · unset to 0.0
    Dec 23, 2024 to Mar 27, 2025
  • HNW clients · 13 to 19
    Dec 23, 2024 to Mar 27, 2025
  • Individual clients · 36 to 58
    Dec 23, 2024 to Mar 27, 2025
  • Pension plan clients · unset to 0.0
    Dec 23, 2024 to Mar 27, 2025
  • Pooled vehicle clients · unset to 0.0
    Dec 23, 2024 to Mar 27, 2025
  • Financial planning clients · 0 to 1-10
    Dec 23, 2024 to Mar 27, 2025
  • HNW RAUM · $7.2M to $26.7M
    Dec 23, 2024 to Mar 27, 2025
  • Individual RAUM · $7.3M to $18.3M
    Dec 23, 2024 to Mar 27, 2025
  • Non-discretionary RAUM · $14.6M to $45.1M
    Dec 23, 2024 to Mar 27, 2025
  • Pension RAUM · unset to 0.0
    Dec 23, 2024 to Mar 27, 2025
  • Pooled vehicle RAUM · unset to 0.0
    Dec 23, 2024 to Mar 27, 2025
  • RAUM · $14.6M to $45.1M
    Dec 23, 2024 to Mar 27, 2025
  • Accounts · 72 to 88
    Jan 16, 2024 to Mar 15, 2024
  • Advisory employees · 17 to 20
    Jan 16, 2024 to Mar 15, 2024
  • BD registered reps · 17 to 20
    Jan 16, 2024 to Mar 15, 2024
  • Corporate clients · unset to 1.0
    Jan 16, 2024 to Mar 15, 2024
  • HNW clients · 14 to 13
    Jan 16, 2024 to Mar 15, 2024
  • Individual clients · 19 to 36
    Jan 16, 2024 to Mar 15, 2024
  • Employees · 17 to 22
    Jan 16, 2024 to Mar 15, 2024
  • HNW RAUM · $17.4M to $7.2M
    Jan 16, 2024 to Mar 15, 2024
  • Individual RAUM · $2.5M to $7.3M
    Jan 16, 2024 to Mar 15, 2024
  • Non-discretionary RAUM · $19.9M to $14.6M
    Jan 16, 2024 to Mar 15, 2024
  • RAUM · $19.9M to $14.6M
    Jan 16, 2024 to Mar 15, 2024
  • Related adviser · false to true
    Mar 23, 2023 to May 17, 2023
  • Accounts · 25 to 72
    Oct 4, 2022 to Mar 23, 2023
  • HNW clients · 10 to 14
    Oct 4, 2022 to Mar 23, 2023
Signals
16 dated events
  • Robert S Wiese registered as an investment adviser representative at Quincy Wells Advisors, Llc
    Sep 14, 2026 · Advisor registered · fact
  • Nichole Elizabeth Shadow added a IL registration at Quincy Wells Advisors, Llc
    Sep 14, 2026 · New state registration · fact
  • Nichole Elizabeth Shadow added a TX registration at Quincy Wells Advisors, Llc
    Sep 2, 2026 · New state registration · fact
  • Ronald Allen Glasgow left Quincy Wells Advisors, Llc for Calton & Associates, Inc. (registered 2026-07-27)
    Jul 15, 2026 · Advisor changed firm · fact
  • Rick David Martinez left Quincy Wells Advisors, Llc for Ausdal Financial Partners, Inc. (registered 2026-06-16)
    Jun 17, 2026 · Advisor changed firm · fact
  • Quincy Wells Advisors, Llc reported 6 offices beyond its principal office, up from 0 (2026-01-30 to 2026-03-31)
    Mar 31, 2026 · Office count change · derived
  • Jody Gunderson left Quincy Wells Advisors, Llc for Lpl Financial Llc (registered 2026-06-01)
    Dec 31, 2025 · Advisor changed firm · fact
  • Daniel Allen Bramschreiber left Quincy Wells Advisors, Llc for Dmk Advisor Group, Inc. (registered 2025-09-28)
    Nov 17, 2025 · Advisor changed firm · fact
  • Robert Leo Vonderharr left Quincy Wells Advisors, Llc for Cabin Advisors, Llc (registered 2025-11-04)
    Oct 16, 2025 · Advisor changed firm · fact
  • Matthew Thomas Hadley left Quincy Wells Advisors, Llc for Sequoia Financial Group, L.L.C. (registered 2025-10-08)
    Oct 6, 2025 · Advisor changed firm · fact
  • Jonathan Frame (Chief Compliance Officer) appeared on Schedule A of Quincy Wells Advisors, Llc
    Mar 26, 2024 · Control person joined · fact
  • Valerie Cummins (Managing Director Of Ria Operations) appeared on Schedule A of Quincy Wells Advisors, Llc
    Jan 16, 2024 · Control person joined · fact
  • Donald Christopher Schultheis left Quincy Wells Advisors, Llc for Charles Schwab & Co., Inc. (registered 2023-11-17)
    Jan 12, 2022 · Advisor changed firm · fact
  • James Thomas Evey (Chief Compliance Officer) no longer on Schedule A of Quincy Wells Advisors, Llc (listed 2020-09-04, absent 2020-10-04)
    Oct 4, 2020 · Control person left · inference
  • Mark Matthew Reynolds (Chief Compliance Officer) appeared on Schedule A of Quincy Wells Advisors, Llc
    Oct 4, 2020 · Control person joined · fact
  • Great Point Advisors, Llc filed its initial SEC registration (Form ADV)
    Feb 13, 2020 · 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.
How to reach
public business contact points only, each with its source
Principal office phone
312-356-4875reportedpublic 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
$2.8Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026