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
Q••••••••
Legal name Q••••••••• L••
Latest filing Apr 30, 2026
First filing on the tape Oct 29, 2021 · 16 filings
SEC status approved since Dec 13, 2021
RAUM
$26.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$26.6M 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
16 filings and snapshots on the tape
RAUM$26.6M as of Apr 30, 2026
May 5, 2022$800 then
HNW client RAUM$4.9M as of Apr 30, 2026
Apr 2, 2025$3.1M then
State-registered IARs (5.B.3)0 as of Apr 30, 2026
May 5, 20222 then
Employees (5.A)2 as of Apr 30, 2026
May 5, 20222 then
Private funds: no history
RAUM +25% over the last fiscal year+104% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- 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
- $32,287derivedHNW RAUM over HNW clients
- Average account
- $4,523derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, 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
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -60%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$21.7M82%
- High-net-worth individuals$4.9M18%
- Individual clients
- 5,736reported
- HNW clients
- 151reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 5,887reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
- W•••••• L••••• N•••••••• · Ceocontrolsince 09/2024 · owns less than 5%
- W•••••• L••••• N•••••••• · Ceocontrolsince 08/2020 · owns 75% or more of S••••••• A• I••
- F••••• T•••• · Ccosince 09/2024 · owns less than 5%
Entity owners
- S••••••• A• I•• · 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.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- account count collapseChange between filings · filing Apr 30, 2026accounts (Item 5.F.2.f) moved from 14,552.0 to 5,887.0 (-60.0%) between the annual amendments of 2025-04-02 and 2026-04-30; the peer median change was +2.0% (135 comparable advisers, 8.0th percentile of changes)peers: independent wealth managers, under $100M (135) · 8.2% percentile
- client count collapseChange between filings · filing Apr 30, 2026individual and HNW clients (Item 5.D) moved from 14,552.0 to 5,887.0 (-60.0%) between the annual amendments of 2025-04-02 and 2026-04-30; the peer median change was 0.0% (119 comparable advisers, 5.0th percentile of changes)peers: independent wealth managers, under $100M (119) · 5.1% percentile
What changed
consecutive filings, newest first
- Accounts · 14,552 to 5,887Apr 2, 2025 to Apr 30, 2026
- HNW clients · 125 to 151Apr 2, 2025 to Apr 30, 2026
- Individual clients · 14,427 to 5,736Apr 2, 2025 to Apr 30, 2026
- Discretionary RAUM · $21.3M to $26.6MApr 2, 2025 to Apr 30, 2026
- HNW RAUM · $3.1M to $4.9MApr 2, 2025 to Apr 30, 2026
- Individual RAUM · $18.2M to $21.7MApr 2, 2025 to Apr 30, 2026
- RAUM · $21.3M to $26.6MApr 2, 2025 to Apr 30, 2026
- Accounts · 2,500 to 14,552Dec 23, 2024 to Apr 2, 2025
- HNW clients · 0 to 125Dec 23, 2024 to Apr 2, 2025
- Individual clients · 2,500 to 14,427Dec 23, 2024 to Apr 2, 2025
- Financial planning clients · unset to 0Dec 23, 2024 to Apr 2, 2025
- Discretionary RAUM · $20.0M to $21.3MDec 23, 2024 to Apr 2, 2025
- HNW RAUM · $0 to $3.1MDec 23, 2024 to Apr 2, 2025
- Individual RAUM · $20.0M to $18.2MDec 23, 2024 to Apr 2, 2025
- RAUM · $20.0M to $21.3MDec 23, 2024 to Apr 2, 2025
- Advisory employees · 2 to 1Aug 25, 2024 to Dec 23, 2024
- Employees · 3 to 2Aug 25, 2024 to Dec 23, 2024
- Financial planning clients · 0 to unsetAug 25, 2024 to Dec 23, 2024
- HQ city · NEW YORK CITY to NEW YORKAug 25, 2024 to Dec 23, 2024
- State-registered IARs · 2 to 0Aug 25, 2024 to Dec 23, 2024
- Discretionary RAUM · $7.9M to $20.0MAug 25, 2024 to Dec 23, 2024
- Individual RAUM · $7.9M to $20.0MAug 25, 2024 to Dec 23, 2024
- RAUM · $7.9M to $20.0MAug 25, 2024 to Dec 23, 2024
- Wrap assets (manager) · 0.0 to unsetAug 25, 2024 to Dec 23, 2024
- Wrap assets (sponsor) · 0.0 to unsetAug 25, 2024 to Dec 23, 2024
- Charity clients · unset to 0.0Feb 29, 2024 to May 15, 2024
- Corporate clients · unset to 0.0Feb 29, 2024 to May 15, 2024
- HNW clients · unset to 0.0Feb 29, 2024 to May 15, 2024
- Pension plan clients · unset to 0.0Feb 29, 2024 to May 15, 2024
- Pooled vehicle clients · unset to 0.0Feb 29, 2024 to May 15, 2024
- HNW RAUM · unset to 0.0Feb 29, 2024 to May 15, 2024
- Pension RAUM · unset to 0.0Feb 29, 2024 to May 15, 2024
- Pooled vehicle RAUM · unset to 0.0Feb 29, 2024 to May 15, 2024
- Accounts · 1,412 to 2,500Mar 30, 2023 to Feb 29, 2024
- Individual clients · 1,412 to 2,500Mar 30, 2023 to Feb 29, 2024
- Financial planning clients · unset to 0Mar 30, 2023 to Feb 29, 2024
- Discretionary RAUM · $3.2M to $7.9MMar 30, 2023 to Feb 29, 2024
- Individual RAUM · $3.2M to $7.9MMar 30, 2023 to Feb 29, 2024
- RAUM · $3.2M to $7.9MMar 30, 2023 to Feb 29, 2024
- Accounts · 10 to 1,412Sep 7, 2022 to Mar 30, 2023
Signals
6 dated events
- N•••••••• L•••• W••••• (Ceo) appeared on Schedule A of QuantbaseDec 23, 2024 · Control person joined · fact
- J•••• T••••• S•••••• (Chief Executive Officer) no longer on Schedule A of Quantbase (listed 2024-08-25, absent 2024-12-23)Dec 23, 2024 · Control person left · inference
- Dev Som M•••••••• (Chief Investment Officer And Chief Compliance Officer) no longer on Schedule A of Quantbase (listed 2024-08-25, absent 2024-12-23)Dec 23, 2024 · Control person left · inference
- A•••• R••••• C••••••••• (Shareholder (Common)) no longer on Schedule A of Quantbase (listed 2024-08-25, absent 2024-12-23)Dec 23, 2024 · Control person left · inference
- A•••• R••••• C••••••••• (Shareholder (Common)) appeared on Schedule A of QuantbaseMar 30, 2023 · Control person joined · fact
- Quantbase filed its initial SEC registration (Form ADV)Oct 29, 2021 · 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
- Business email
- h••••@g•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/quantbasereportedpublic record, Form ADV, Sep 19, 2026
- Website
- g•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 9296821617reportedpublic record, Form ADV, Apr 30, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026