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••••••••• I••••••••• A•••••••• L••

Former SEC-registered adviserJersey City, New JerseyCRD 309249SEC 801-118909IAPD
Latest filing Oct 27, 2023
First filing on the tape May 13, 2020 · 15 filings
RAUM
$2.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$2.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$2.0M as of Mar 27, 2023
Mar 30, 2021$286,174 then
HNW client RAUM$0 as of Mar 27, 2023
Mar 31, 2022$0 then
State-registered IARs (5.B.3)1 as of Mar 27, 2023
Mar 30, 20211 then
Employees (5.A)1 as of Mar 27, 2023
Mar 30, 20211 then
Private funds: no history
RAUM +62% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Oct 27, 2023; every figure names its basis
RAUM per advisor
$2.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
2,842derivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$719derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+62%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+464%derived
Compensation
fixed feesreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Wrap fee program
$2.0MreportedItem 5.I
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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$2.0M100%
Individual clients
2,842reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
2,842reported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
fixedreported
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
      • B•••••••• W••••••• P••• · Chief Compliance Officer
        since 07/2022 · owns less than 5%
      Entity owners
      • Q••••••••• H•••••••• L•• · Managing Member
        direct · owns 75% or more
      • F••••• G••••• M•••• H•••••••• I•• · Member
        indirect · owns 50% to 75% of Q••••••••• H•••••••• L••
      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
      • Accounts · 504 to 2,842
        Oct 11, 2022 to Mar 27, 2023
      • Individual clients · 504 to 2,842
        Oct 11, 2022 to Mar 27, 2023
      • Discretionary RAUM · $1.3M to $2.0M
        Oct 11, 2022 to Mar 27, 2023
      • Individual RAUM · $1.3M to $2.0M
        Oct 11, 2022 to Mar 27, 2023
      • RAUM · $1.3M to $2.0M
        Oct 11, 2022 to Mar 27, 2023
      • Accounts · 97 to 504
        Apr 28, 2021 to Mar 31, 2022
      • Individual clients · 97 to 504
        Apr 28, 2021 to Mar 31, 2022
      • Discretionary RAUM · $301,926 to $1.3M
        Apr 28, 2021 to Mar 31, 2022
      • Individual RAUM · $301,926 to $1.3M
        Apr 28, 2021 to Mar 31, 2022
      • RAUM · $301,926 to $1.3M
        Apr 28, 2021 to Mar 31, 2022
      • Wrap assets (manager) · $301,926 to $0
        Apr 28, 2021 to Mar 31, 2022
      • Wrap assets (sponsor) · $301,926 to $0
        Apr 28, 2021 to Mar 31, 2022
      • Charity clients · unset to 0.0
        Mar 30, 2021 to Apr 28, 2021
      • Corporate clients · unset to 0.0
        Mar 30, 2021 to Apr 28, 2021
      • HNW clients · unset to 0.0
        Mar 30, 2021 to Apr 28, 2021
      • Pension plan clients · unset to 0.0
        Mar 30, 2021 to Apr 28, 2021
      • Pooled vehicle clients · unset to 0.0
        Mar 30, 2021 to Apr 28, 2021
      • Discretionary RAUM · $286,174 to $301,926
        Mar 30, 2021 to Apr 28, 2021
      • HNW RAUM · unset to 0.0
        Mar 30, 2021 to Apr 28, 2021
      • Individual RAUM · $286,174 to $301,926
        Mar 30, 2021 to Apr 28, 2021
      • Pension RAUM · unset to 0.0
        Mar 30, 2021 to Apr 28, 2021
      • Pooled vehicle RAUM · unset to 0.0
        Mar 30, 2021 to Apr 28, 2021
      • RAUM · $286,174 to $301,926
        Mar 30, 2021 to Apr 28, 2021
      • Wrap assets (manager) · $286,174 to $301,926
        Mar 30, 2021 to Apr 28, 2021
      • Wrap assets (sponsor) · $286,174 to $301,926
        Mar 30, 2021 to Apr 28, 2021
      • Accounts · 0 to 97
        Dec 8, 2020 to Mar 30, 2021
      • Individual clients · unset to 97.0
        Dec 8, 2020 to Mar 30, 2021
      • Discretionary RAUM · $0 to $286,174
        Dec 8, 2020 to Mar 30, 2021
      • Individual RAUM · unset to 286174.0
        Dec 8, 2020 to Mar 30, 2021
      • RAUM · $0 to $286,174
        Dec 8, 2020 to Mar 30, 2021
      • Wrap assets (manager) · $1 to $286,174
        Dec 8, 2020 to Mar 30, 2021
      • Wrap assets (sponsor) · $1 to $286,174
        Dec 8, 2020 to Mar 30, 2021
      • Wrap assets (manager) · unset to 1.0
        May 26, 2020 to Jun 4, 2020
      • Wrap assets (sponsor) · unset to 1.0
        May 26, 2020 to Jun 4, 2020
      Signals
      2 dated events
      • Martin Stephen Mathai-Davis (Ceo & Chief Compliance Officer) no longer on Schedule A of Q••••••••• I••••••••• A•••••••• L•• (listed 2022-03-31, absent 2022-08-10)
        Aug 10, 2022 · Control person left · inference
      • Q••••••••• I••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
        May 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.
      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