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.
SEC-registered adviser
Prime Quadrant
Legal name Prime Quadrant US, LLC
Latest filing Sep 14, 2026
First filing on the tape Jun 10, 2022 · 22 filings
SEC status approved since Aug 22, 2022
RAUM
$849M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$849M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$849M as of Mar 23, 2026
Mar 30, 2023$480M then
HNW client RAUM$849M as of Mar 23, 2026
Mar 30, 2023$480M then
State-registered IARs (5.B.3)0 as of Mar 23, 2026
Mar 30, 20230 then
Employees (5.A)4 as of Mar 23, 2026
Mar 30, 20234 then
Private funds: no history
RAUM -19% over the last fiscal year+21% a year over threeIARs 0 to 0offices 1 to 4
Practice profile
derived from the filing of Sep 14, 2026; every figure names its basis
Archetypes, each a printed rule
- PE backed · a Schedule A entity owner at 25 percent or more whose exact legal name is a PE fund vehicle or a classified PE sponsor on the DFX private equity graph
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- 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
- $44.7MderivedHNW RAUM over HNW clients
- Average account
- $44.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- -19%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $374M, 12 clientsreportedItem 9.A
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner 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)
- 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$849M100%
- Individual clients
- n/areported
- HNW clients
- 19reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 19reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $374M for 12 clientsreported
- Compensation
- fixedreported
- 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
- Michael Andrew Doman · Coo/Cfocontrolsince 10/2022 · owns less than 5%
- Clariond Jaques Gauna · Senior Advisercontrolsince 07/2023 · owns less than 5%
- Mo Yevgeniy Lidsky · Ceocontrolsince 10/2022 · owns less than 5%
- Howard Mark Roth · Chief Risk Officer And Chief Compliance Officercontrolsince 10/2022 · owns less than 5%
Entity owners
- Focus Operating, LLC · Member (Manager)direct · owns 75% or more
- Cd&R Ferdinand Co-Investor, L.P. · Partnerindirect · owns 25% to 50% of Cd&R Ferdinand Holdings, L.P.
- Cd&R Ferdinand Holdings, L.P. · Partnerindirect · owns 50% to 75% of Ferdinand Ffp Ultimate Holdings, LP
- Clayton Dubilier & Rice Fund Xii, L.P. · Partnerindirect · owns 50% to 75% of Cd&R Ferdinand Holdings, L.P.
- Ferdinand Ffp Acquisition, LLC · Shareholder, Class A Common Stockindirect · owns 75% or more of Focus Financial Partners Inc.
- Ferdinand Ffp Intermediate Holdings, LLC · Memberindirect · owns 75% or more of Ferdinand Ffp Acquisition, LLC
- Ferdinand Ffp Parent, Inc. · Memberindirect · owns 75% or more of Ferdinand Ffp Intermediate Holdings, LLC
- Ferdinand Ffp Ultimate Holdings, LP · Shareholderindirect · owns 75% or more of Ferdinand Ffp Parent, Inc.
- Ferdinand Ffp Ultimate Holdings, LP · Shareholder, Class B Common Stockindirect · owns 75% or more of Focus Financial Partners Inc.
- Focus Financial Partners Inc. · Memberindirect · owns 75% or more of Focus Financial Partners, LLC
- Focus Financial Partners, LLC · Memberindirect · owns 75% or more of Focus Operating, LLC
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- New York, NY3 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Sep 14, 2026discretionary share of RAUM of 0% against a peer median of 99% (1483 comparable advisers, 0.0th percentile, 33.5 robust deviations)peers: independent wealth managers, $500M to $1B (1,483) · 0.0% percentile
What changed
consecutive filings, newest first
- Financial planning clients · 11-25 to 11-25Mar 23, 2026 to Sep 14, 2026
- HQ state · to unsetMar 23, 2026 to Sep 14, 2026
- Other offices · 5 to 4Mar 23, 2026 to Sep 14, 2026
- Succession · false to unsetMar 23, 2026 to Sep 14, 2026
- Advisory activities · 4 to 5Oct 10, 2025 to Mar 23, 2026
- Accounts · 57 to 19Oct 10, 2025 to Mar 23, 2026
- Advisory employees · 4 to 3Oct 10, 2025 to Mar 23, 2026
- HNW clients · 16 to 19Oct 10, 2025 to Mar 23, 2026
- Assets in custody · $229M to $374MOct 10, 2025 to Mar 23, 2026
- HNW RAUM · $1.1B to $849MOct 10, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $1.1B to $849MOct 10, 2025 to Mar 23, 2026
- RAUM · $1.1B to $849MOct 10, 2025 to Mar 23, 2026
- Other offices · 2 to 5Jul 18, 2025 to Oct 10, 2025
- Financial planning clients · 11-25 to 11-25Mar 25, 2025 to Jul 18, 2025
- Other offices · 1 to 2Mar 25, 2025 to Jul 18, 2025
- Accounts · 30 to 57Feb 26, 2025 to Mar 25, 2025
- HNW clients · 30 to 16Feb 26, 2025 to Mar 25, 2025
- Assets in custody · $75.5M to $229MFeb 26, 2025 to Mar 25, 2025
- Financial planning clients · 26-50 to 11-25Feb 26, 2025 to Mar 25, 2025
- HNW RAUM · $355M to $1.1BFeb 26, 2025 to Mar 25, 2025
- Non-discretionary RAUM · $355M to $1.1BFeb 26, 2025 to Mar 25, 2025
- RAUM · $355M to $1.1BFeb 26, 2025 to Mar 25, 2025
- Related adviser · true to falseFeb 26, 2025 to Mar 25, 2025
- Related bank · true to falseFeb 26, 2025 to Mar 25, 2025
- Related broker-dealer · true to falseFeb 26, 2025 to Mar 25, 2025
- Advisory employees · 3 to 4Mar 28, 2024 to Feb 26, 2025
- Advisory activities · 5 to 4Mar 28, 2024 to Feb 26, 2025
- Employees · 3 to 4Mar 28, 2024 to Feb 26, 2025
- HQ state · unset to Mar 28, 2024 to Feb 26, 2025
- Accounts · 26 to 30Oct 26, 2023 to Mar 28, 2024
- Advisory employees · 5 to 3Oct 26, 2023 to Mar 28, 2024
- HNW clients · 26 to 30Oct 26, 2023 to Mar 28, 2024
- Assets in custody · unset to 75512232.0Oct 26, 2023 to Mar 28, 2024
- Custody of client assets · false to trueOct 26, 2023 to Mar 28, 2024
- Employees · 5 to 3Oct 26, 2023 to Mar 28, 2024
- HNW RAUM · $188M to $355MOct 26, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $188M to $355MOct 26, 2023 to Mar 28, 2024
- RAUM · $188M to $355MOct 26, 2023 to Mar 28, 2024
- Accounts · 27 to 26Mar 30, 2023 to Jul 19, 2023
- Advisory employees · 4 to 5Mar 30, 2023 to Jul 19, 2023
Signals
7 dated events
- Prime Quadrant reported RAUM $1.1B, up 197% from $354.9M (2025-02-26 to 2025-03-25)Mar 25, 2025 · RAUM change · derived
- Prime Quadrant reported RAUM $354.9M, up 89% from $188.2M (2023-10-26 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Prentice Elizabeth Anderson (Senior Adviser) no longer on Schedule A of Prime Quadrant (listed 2023-09-26, absent 2023-10-26)Oct 26, 2023 · Control person left · inference
- Prime Quadrant reported RAUM $188.2M, down 61% from $480.5M (2023-03-30 to 2023-07-19)Jul 19, 2023 · RAUM change · derived
- Clariond Jaques Gauna (Senior Adviser) appeared on Schedule A of Prime QuadrantJul 19, 2023 · Control person joined · fact
- Constantine Alexander Da Costa (Chief Investment Officer) no longer on Schedule A of Prime Quadrant (listed 2022-07-12, absent 2022-08-08)Aug 8, 2022 · Control person left · inference
- Prime Quadrant Us, Llc filed its initial SEC registration (Form ADV)Jun 10, 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 phone
- 610-551-4892reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 647-749-4118reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/prime-quadrantreportedpublic record, Form ADV, Sep 17, 2026
- Firm profile
- linkedin.com/company/2064318reportedpublic record, Form ADV, Sep 17, 2026
- Website
- primequadrant.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 212-365-7400reportedpublic record, Form ADV, Sep 14, 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