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••••••• S••••••• P••••••• N•••• A•••••• I•••
Latest filing Mar 30, 2026
First filing on the tape Aug 10, 2021 · 12 filings
SEC status approved since Sep 8, 2021
RAUM
$518M
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
$518M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$518M as of Mar 30, 2026
Mar 31, 2022$467M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 31, 20220 then
Employees (5.A)2 as of Mar 30, 2026
Mar 31, 20225 then
Private funds: no history
RAUM +75% over the last fiscal year+6.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $518MderivedRAUM 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
- $129MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 87%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
- +75%derivedbetween 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, fixed feesreportedItem 5.E
- Advisory activities
- 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)
- compensates non-employees for client referrals (8.G.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Charitable organizations$381M74%
- Pension and profit-sharing plans$70.9M14%
- Other investment advisers$66.4M13%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 1reported
- Charitable clients
- 1reported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.13 institutional_share=0.87 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 |
|---|---|---|---|---|
| J••••• J•• A••••• B•••• | Ny, Ny | Aug 5, 2022 | 11 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• J•••••• J•• A••••• · Chief Compliance Officercontrolsince 10/2023 · owns less than 5%
- S••••• H••••• · Presidentcontrolsince 06/2021 · owns less than 5%
- S••••• H••••• · Shareholdercontrolsince 03/2022 · owns 75% or more of S•• H•••••• S•••••••
- V•• D•• H••••• C••••• · Shareholdercontrolsince 03/2022 · owns 75% or more of C••••• H••••••• S•••••••
Entity owners
- Q•• H••••••• S••••••• · Shareholderdirect · owns 75% or more
- C••••• H••••••• S••••••• · Shareholderindirect · owns 25% to 50% of Q•• H••••••• S•••••••
- S•• H•••••• S••••••• · Shareholderindirect · owns 50% to 75% of Q•• H••••••• S•••••••
Related persons
Schedule D 7.A
- Q•• H••••••• S••••••investment advisery
- Q••••••• S••••••• P••••••• S••investment advisern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 30, 2026RAUM (Item 5.F) moved from $296,065,015 to $517,928,039 (+75.0%) between the annual amendments of 2025-03-31 and 2026-03-30; the peer median change was +13.0% (63 comparable advisers, 90.0th percentile of changes)peers: institutional managers, $500M to $1B (63) · 90% percentile
What changed
consecutive filings, newest first
- Accounts · 3 to 4Oct 14, 2025 to Mar 30, 2026
- Discretionary RAUM · $296M to $518MOct 14, 2025 to Mar 30, 2026
- Pension RAUM · $20.8M to $70.9MOct 14, 2025 to Mar 30, 2026
- RAUM · $296M to $518MOct 14, 2025 to Mar 30, 2026
- Accounts · 1 to 3Mar 29, 2024 to Mar 31, 2025
- Advisory employees · 9 to 2Mar 29, 2024 to Mar 31, 2025
- Charity clients · unset to 1.0Mar 29, 2024 to Mar 31, 2025
- Pension plan clients · unset to 1.0Mar 29, 2024 to Mar 31, 2025
- Employees · 10 to 2Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $197M to $296MMar 29, 2024 to Mar 31, 2025
- Pension RAUM · unset to 20849892.0Mar 29, 2024 to Mar 31, 2025
- RAUM · $197M to $296MMar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $187M to $197MNov 30, 2023 to Mar 29, 2024
- RAUM · $187M to $197MNov 30, 2023 to Mar 29, 2024
- Accounts · 2 to 1Oct 25, 2023 to Nov 30, 2023
- Advisory employees · 3 to 9Oct 25, 2023 to Nov 30, 2023
- Employees · 9 to 10Oct 25, 2023 to Nov 30, 2023
- Discretionary RAUM · $0 to $187MOct 25, 2023 to Nov 30, 2023
- Non-discretionary RAUM · $429M to $0Oct 25, 2023 to Nov 30, 2023
- RAUM · $429M to $187MOct 25, 2023 to Nov 30, 2023
- Accounts · 3 to 2Nov 4, 2022 to Feb 15, 2023
- Employees · 5 to 9Nov 4, 2022 to Feb 15, 2023
- HQ city · NEW YORK to NYNov 4, 2022 to Feb 15, 2023
- Non-discretionary RAUM · $467M to $429MNov 4, 2022 to Feb 15, 2023
- RAUM · $467M to $429MNov 4, 2022 to Feb 15, 2023
- Accounts · 2 to 3Jan 7, 2022 to Mar 31, 2022
- Pooled vehicle clients · 2.0 to unsetJan 7, 2022 to Mar 31, 2022
- Employees · 4 to 5Jan 7, 2022 to Mar 31, 2022
- Non-discretionary RAUM · $245M to $467MJan 7, 2022 to Mar 31, 2022
- Pooled vehicle RAUM · 245272000.0 to unsetJan 7, 2022 to Mar 31, 2022
- RAUM · $245M to $467MJan 7, 2022 to Mar 31, 2022
- Accounts · 0 to 2Aug 10, 2021 to Jan 7, 2022
- Advisory employees · 1 to 3Aug 10, 2021 to Jan 7, 2022
- Pooled vehicle clients · unset to 2.0Aug 10, 2021 to Jan 7, 2022
- Employees · 1 to 4Aug 10, 2021 to Jan 7, 2022
- Insurance-licensed employees · 1 to 0Aug 10, 2021 to Jan 7, 2022
- State-registered IARs · 1 to 0Aug 10, 2021 to Jan 7, 2022
- Non-discretionary RAUM · $0 to $245MAug 10, 2021 to Jan 7, 2022
- Pooled vehicle RAUM · unset to 245272000.0Aug 10, 2021 to Jan 7, 2022
Signals
6 dated events
- Q••••••• S••••••• P••••••• N•••• A•••••• I••• reported RAUM $517.9M, up 75% from $296.1M (2025-10-14 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- Q••••••• S••••••• P••••••• N•••• A•••••• I••• reported RAUM $187.3M, down 56% from $429.4M (2023-10-25 to 2023-11-30)Nov 30, 2023 · RAUM change · derived
- Jay A••••• J••••• B•••• (Chief Compliance Officer) appeared on Schedule A of Q••••••• S••••••• P••••••• N•••• A•••••• I•••Oct 25, 2023 · Control person joined · fact
- Q••••••• S••••••• P••••••• N•••• A•••••• I••• reported RAUM $466.6M, up 90% from $245.3M (2022-01-07 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- C••••• Van Der H•••• (Shareholder) appeared on Schedule A of Q••••••• S••••••• P••••••• N•••• A•••••• I•••Mar 31, 2022 · Control person joined · fact
- Q••••••• S••••••• P••••••• N•••• A•••••• I••• filed its initial SEC registration (Form ADV)Aug 10, 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
- Principal office phone
- 2129184580reportedpublic record, Form ADV, Mar 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $518Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026