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•••••• F•••••••• A•••••••• L••

Independent wealth managerSanta Monica, CaliforniaCRD 317386SEC 801-122978websiteIAPD
Latest filing Jun 5, 2026
First filing on the tape Dec 3, 2021 · 18 filings
SEC status approved since Jan 3, 2022
RAUM
$1.5B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$1.5B individuals and HNW
Advisors
15
registered through the firm on IAPD
RAUM per advisor
$98.9M
derived; firm RAUM over IAPD count
Employees
16
11 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$1.5B as of Jun 5, 2026
Mar 23, 2023$816M then
HNW client RAUM$1.2B as of Jun 5, 2026
Mar 23, 2023$677M then
State-registered IARs (5.B.3)14 as of Jun 5, 2026
Mar 23, 20239 then
Employees (5.A)16 as of Jun 5, 2026
Mar 23, 202313 then
Private funds: no history
RAUM +21% over the last fiscal year+22% a year over threeIARs 13 to 14
Practice profile
derived from the filing of Jun 5, 2026; every figure names its basis
Archetypes, each a printed rule
  • HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
RAUM per advisor
$98.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
30derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$6.9MderivedHNW RAUM over HNW clients
Average account
$869,427derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.1derivedItem 5.A over advisors
Advisors per office
3.0derived5 offices incl. principal (1.F.5)
RAUM growth, one year
+21%derivedbetween the last two annual amendments
Advisor growth, one year
+7.7%derivedItem 5.B.3 between annual amendments
Client growth, one year
+5.9%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
Custody
$906M, 325 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$1.2B80%
  • Individuals$285M19%
  • Pension and profit-sharing plans$12.2M0.8%
  • Corporations and businesses$508,9690.0%
Individual clients
280reported
HNW clients
171reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,707reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$906M for 325 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
15 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
D•••• A•••• D•••••Certified Financial PlannerEl Segundo, CaJan 3, 202221 y2
S•••• M••••• S••••••Certified Financial PlannerSanta Monica, Ca Jan 3, 202211 y1
D••••• G••••• G••••Certified Financial PlannerSanta Monica, CaJan 3, 202226 y2
M•••••• J••• H••••••Certified Financial PlannerSanta Monica, Ca Feb 1, 202210 y1
R••• A•••••• B••••••••El Segundo, CaFeb 4, 202211 y1
W•••• M•••••• H••••••Certified Financial PlannerPasadena, CaFeb 7, 202213 y1
E•••••••• J•••• G•••••••Certified Financial PlannerSanta Monica, CaFeb 7, 202212 y1
J••• D••••• E•••Certified Financial PlannerSanta Monica, Ca Feb 7, 202211 y1
T•••• A•• S••••••Santa Monica, CaJan 3, 202430 y1
A•••••••• N••••• L•••Santa Monica, Ca Jan 3, 202413 y1
A••• G•••••••• S••••Certified Financial Planner, Chartered Financial AnalystSanta Monica, CaJan 7, 202515 y4
J•••••• L••••••••Certified Financial PlannerPasadena, CaJan 21, 202514 y1
J••••••• V• M•••••••Bella Vista, ArMay 5, 202512 y1
K••••••• H•••Certified Financial PlannerMountain View, CaJul 3, 202510 y1
R•••••• A••••Certified Financial PlannerSanta Monica, CaJul 2, 20269 y1
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Joined, latest
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • D•••••• D••••• A•••• · Partnercontrol
        since 11/2021 · owns 10% to 25%
      • E•••• J•••• D••••• · Partnercontrol
        since 02/2022 · owns 10% to 25%
      • G••••• D•••••• G••••• · Partnercontrol
        since 11/2021 · owns 10% to 25%
      • G•••••••• E••••••••• J•••• · Partnercontrol
        since 02/2022 · owns 10% to 25%
      • H••••••• W••••• M•••••• · Partnercontrol
        since 02/2022 · owns 10% to 25%
      • S••••••• S••••• M••••• · Partnercontrol
        since 11/2021 · owns 10% to 25%
      • B••••••••• R•••• A•••••• · Partner
        since 01/2023 · owns less than 5%
      • H•••• K••••••• · Partner
        since 01/2026 · owns less than 5%
      • H••••••• M••••••• J••• · Partner
        since 01/2026 · owns less than 5%
      • L••••••••• J•••••• · Partner & Chief Compliance Officer
        since 01/2025 · owns less than 5%
      • M•••••• S•••• P•••••• · Chief Compliance Officer
        since 11/2021 · owns less than 5%
      • S••••• A•••• G•••••••• · Partner
        since 01/2026 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      Santa Monica, Ca · principal910
      El Segundo, Ca300
      Pasadena, Ca200
      Offices
      Schedule D 1.F, the 25 largest
      • Santa Monica, CA3 employees
      • Pasadena, CA1 employees
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Financial planning clients · 1-10 to 251-500
        Jan 23, 2026 to Jun 5, 2026
      • Accounts · 1,601 to 1,707
        Mar 18, 2025 to Jan 23, 2026
      • HNW clients · 158 to 171
        Mar 18, 2025 to Jan 23, 2026
      • Individual clients · 268 to 280
        Mar 18, 2025 to Jan 23, 2026
      • Pension plan clients · 5.0 to unset
        Mar 18, 2025 to Jan 23, 2026
      • Assets in custody · $589M to $906M
        Mar 18, 2025 to Jan 23, 2026
      • State-registered IARs · 13 to 14
        Mar 18, 2025 to Jan 23, 2026
      • Discretionary RAUM · $1.2B to $1.5B
        Mar 18, 2025 to Jan 23, 2026
      • HNW RAUM · $980M to $1.2B
        Mar 18, 2025 to Jan 23, 2026
      • Individual RAUM · $238M to $285M
        Mar 18, 2025 to Jan 23, 2026
      • Non-discretionary RAUM · $16.8M to $13.6M
        Mar 18, 2025 to Jan 23, 2026
      • Pension RAUM · $11.7M to $12.2M
        Mar 18, 2025 to Jan 23, 2026
      • RAUM · $1.2B to $1.5B
        Mar 18, 2025 to Jan 23, 2026
      • Financial planning clients · 1-10 to 1-10
        Feb 14, 2025 to Mar 18, 2025
      • Accounts · 1,466 to 1,601
        Mar 20, 2024 to Feb 14, 2025
      • HNW clients · 152 to 158
        Mar 20, 2024 to Feb 14, 2025
      • Individual clients · 242 to 268
        Mar 20, 2024 to Feb 14, 2025
      • Assets in custody · $749M to $589M
        Mar 20, 2024 to Feb 14, 2025
      • Employees · 13 to 16
        Mar 20, 2024 to Feb 14, 2025
      • HQ city · EL SEGUNDO to SANTA MONICA
        Mar 20, 2024 to Feb 14, 2025
      • State-registered IARs · 11 to 13
        Mar 20, 2024 to Feb 14, 2025
      • Discretionary RAUM · $949M to $1.2B
        Mar 20, 2024 to Feb 14, 2025
      • HNW RAUM · $794M to $980M
        Mar 20, 2024 to Feb 14, 2025
      • Individual RAUM · $171M to $238M
        Mar 20, 2024 to Feb 14, 2025
      • Non-discretionary RAUM · $23.2M to $16.8M
        Mar 20, 2024 to Feb 14, 2025
      • Pension RAUM · $7.2M to $11.7M
        Mar 20, 2024 to Feb 14, 2025
      • RAUM · $972M to $1.2B
        Mar 20, 2024 to Feb 14, 2025
      • Accounts · 1,364 to 1,466
        Mar 12, 2024 to Mar 20, 2024
      • Advisory employees · 9 to 11
        Mar 12, 2024 to Mar 20, 2024
      • Advisory activities · 4 to 3
        Mar 12, 2024 to Mar 20, 2024
      • HNW clients · 140 to 152
        Mar 12, 2024 to Mar 20, 2024
      • Individual clients · 230 to 242
        Mar 12, 2024 to Mar 20, 2024
      • Pension plan clients · unset to 5.0
        Mar 12, 2024 to Mar 20, 2024
      • Assets in custody · $541M to $749M
        Mar 12, 2024 to Mar 20, 2024
      • Financial planning clients · 11-25 to 1-10
        Mar 12, 2024 to Mar 20, 2024
      • HQ city · MANHATTAN BEACH to EL SEGUNDO
        Mar 12, 2024 to Mar 20, 2024
      • State-registered IARs · 9 to 11
        Mar 12, 2024 to Mar 20, 2024
      • Other offices · 3 to 4
        Mar 12, 2024 to Mar 20, 2024
      • Discretionary RAUM · $800M to $949M
        Mar 12, 2024 to Mar 20, 2024
      • HNW RAUM · $677M to $794M
        Mar 12, 2024 to Mar 20, 2024
      Signals
      5 dated events
      • Q•••••• F•••••••• A•••••••• L•• reported RAUM $1.2B, up 27% from $972.2M (2024-03-20 to 2025-02-14)
        Feb 14, 2025 · RAUM change · derived
      • 5 advisors left A••••• W••••• P••••••• (Santa Monica, CA) for Q•••••• F•••••••• A•••••••• L•• within 13 days
        Feb 22, 2022 · Team lift-out · derived
      • 6 advisors left A••••• W••••• P••••••• (Santa Monica, CA) for Q•••••• F•••••••• A•••••••• L•• within 3 days
        Jan 28, 2022 · Team lift-out · derived
      • Dah-Ji J••• Eing (Partner) no longer on Schedule A of Q•••••• F•••••••• A•••••••• L•• (listed 2021-12-08, absent 2021-12-14)
        Dec 14, 2021 · Control person left · inference
      • Q•••••• F•••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
        Dec 3, 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 phone
      424-567-8268reportedpublished by the firm, firm site, Sep 15, 2026
      Business phone
      424-447-8268reportedpublished by the firm, firm site, Sep 15, 2026
      Firm profile
      linkedin.com/company/quantumadvisorsreportedpublic record, Form ADV, Sep 18, 2026
      Website
      quantumadvisors.comreportedpublic record, Form ADV, Sep 18, 2026
      Principal office phone
      (424) 447-8268reportedpublic record, Form ADV, Jun 5, 2026
      Contact form
      quantumadvisors.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
      Team page
      quantumadvisors.com/teamreportedpublished by the firm, firm site, Sep 15, 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
      $98.9Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026