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
A• A•••••••
Legal name A• A•••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Apr 28, 2022 · 12 filings
SEC status approved since May 27, 2022
RAUM
$394M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$392M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$131M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$394M as of Mar 26, 2026
Mar 30, 2023$191M then
HNW client RAUM$323M as of Mar 26, 2026
Mar 30, 2023$130M then
State-registered IARs (5.B.3)3 as of Mar 26, 2026
Mar 30, 20232 then
Employees (5.A)5 as of Mar 26, 2026
Mar 30, 20233 then
Private funds: no history
RAUM +30% over the last fiscal year+27% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Mar 26, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $131MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 138derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $265,581derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +30%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $166M, 269 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$323M82%
- Individuals$69.5M18%
- Pension and profit-sharing plans$1.7M0.4%
- Charitable organizations$125,6260.0%
- Individual clients
- 290reported
- HNW clients
- 124reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,483reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $166M for 269 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G••••• A••••• Q••••Certified Financial Planner | Nashville, Tn | Jul 14, 2022 | 16 y | 2 |
| J••• P••••••• S•••••••Certified Financial Planner | Nashville, Tn | Oct 5, 2022 | 18 y | 2 |
| E••••• M•••• C••••• | Nashville, Tn | Dec 9, 2025 | 10 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- E••••• M•••• C••••• from P••• A••••• S••••••••• L••Dec 9, 2025 · Affiliated broker-dealer or bank to independent RIA
- J••• P••••••• S••••••• from K•• Q•••• F••••••••• L••Oct 5, 2022 · RIA to RIA
- G••••• A••••• Q•••• from K•• Q•••• F••••••••• L••Jul 14, 2022 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from K•• Q•••• F••••••••• L••Nov 18, 2022 · Nashville, Tn
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Q••••• G•••••• A••••• · Member, Chief Compliance Officercontrolsince 04/2022 · owns 50% to 75%
- S•••••••• J•••• P••••••• · Membercontrolsince 04/2022 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Nashville, Tn · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 26, 2026HNW share of RAUM moved from 25.0% to 82.0% between the annual amendments of 2025-03-28 and 2026-03-26peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 1,412 to 1,483Nov 17, 2025 to Mar 26, 2026
- Advisory employees · 2 to 3Nov 17, 2025 to Mar 26, 2026
- HNW clients · 292 to 124Nov 17, 2025 to Mar 26, 2026
- Individual clients · 97 to 290Nov 17, 2025 to Mar 26, 2026
- Assets in custody · $133M to $166MNov 17, 2025 to Mar 26, 2026
- Employees · 4 to 5Nov 17, 2025 to Mar 26, 2026
- State-registered IARs · 2 to 3Nov 17, 2025 to Mar 26, 2026
- Discretionary RAUM · $304M to $394MNov 17, 2025 to Mar 26, 2026
- HNW RAUM · $75.7M to $323MNov 17, 2025 to Mar 26, 2026
- Individual RAUM · $227M to $69.5MNov 17, 2025 to Mar 26, 2026
- Pension RAUM · $1.1M to $1.7MNov 17, 2025 to Mar 26, 2026
- RAUM · $304M to $394MNov 17, 2025 to Mar 26, 2026
- Accounts · 1,261 to 1,412Mar 29, 2024 to Mar 28, 2025
- HNW clients · 88 to 292Mar 29, 2024 to Mar 28, 2025
- Individual clients · 301 to 97Mar 29, 2024 to Mar 28, 2025
- Assets in custody · $111M to $133MMar 29, 2024 to Mar 28, 2025
- Financial planning clients · 251-500 to 251-500Mar 29, 2024 to Mar 28, 2025
- Discretionary RAUM · $247M to $304MMar 29, 2024 to Mar 28, 2025
- HNW RAUM · $188M to $75.7MMar 29, 2024 to Mar 28, 2025
- Individual RAUM · $57.6M to $227MMar 29, 2024 to Mar 28, 2025
- Pension RAUM · $1.9M to $1.1MMar 29, 2024 to Mar 28, 2025
- RAUM · $247M to $304MMar 29, 2024 to Mar 28, 2025
- Accounts · 1,150 to 1,261Aug 29, 2023 to Mar 29, 2024
- HNW clients · 59 to 88Aug 29, 2023 to Mar 29, 2024
- Individual clients · 283 to 301Aug 29, 2023 to Mar 29, 2024
- Assets in custody · $84.3M to $111MAug 29, 2023 to Mar 29, 2024
- Employees · 3 to 4Aug 29, 2023 to Mar 29, 2024
- Discretionary RAUM · $191M to $247MAug 29, 2023 to Mar 29, 2024
- HNW RAUM · $130M to $188MAug 29, 2023 to Mar 29, 2024
- Individual RAUM · $60.1M to $57.6MAug 29, 2023 to Mar 29, 2024
- Pension RAUM · $825,264 to $1.9MAug 29, 2023 to Mar 29, 2024
- RAUM · $191M to $247MAug 29, 2023 to Mar 29, 2024
- Accounts · 1,266 to 1,150Sep 23, 2022 to Mar 30, 2023
- HNW clients · 64 to 59Sep 23, 2022 to Mar 30, 2023
- Individual clients · 285 to 283Sep 23, 2022 to Mar 30, 2023
- Assets in custody · $93.5M to $84.3MSep 23, 2022 to Mar 30, 2023
- Insurance-licensed employees · 2 to 0Sep 23, 2022 to Mar 30, 2023
- Financial planning clients · 0 to 251-500Sep 23, 2022 to Mar 30, 2023
- Discretionary RAUM · $203M to $191MSep 23, 2022 to Mar 30, 2023
- HNW RAUM · $136M to $130MSep 23, 2022 to Mar 30, 2023
Signals
2 dated events
- 2 advisors left K•• Q•••• F••••••••• L•• (Nashville, TN) for A• A••••••• on the same dayNov 18, 2022 · Team lift-out · derived
- A• A••••••• filed its initial SEC registration (Form ADV)Apr 28, 2022 · 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
- contact@ajadvice.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- andrew@ajadvice.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- eli@ajadvice.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- emily@ajadvice.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- maya@ajadvice.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 615-709-8709reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- ajadvice.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 615-709-8709reportedpublic record, Form ADV, Mar 26, 2026
- Contact form
- ajadvice.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- ajadvice.com/team/andrew-quinnreportedpublished 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
- $131Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026