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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Latest filing Apr 28, 2026
First filing on the tape Dec 22, 2022 · 14 filings
SEC status approved since Mar 4, 2024
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 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
14 filings and snapshots on the tape
RAUM$0 as of Apr 28, 2026
Apr 10, 2025$0 then
HNW client RAUM: $0
State-registered IARs (5.B.3)1 as of Apr 28, 2026
Apr 10, 20251 then
Employees (5.A)2 as of Apr 28, 2026
Apr 10, 20252 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Apr 28, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $0derivedRAUM 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, 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
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- otherreportedItem 5.E
- Advisory activities
- otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 0reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- Class basis
- private_client_share=0.0 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
- T•••• F•••• to W••••• M••• E••••••••• I•••Nov 2, 2023 · Other
Joined, latest
- T•••• F•••• from T•••• A••••••• G•••• L••Jan 31, 2023 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W•••••• L••••• N•••••••• · President, Ceo, Ccocontrolsince 05/2022 · owns less than 5%
- W•••••• L••••• N•••••••• · President, Ceo, Ccocontrolsince 05/2022 · owns 75% or more of S••••••• A• I••
Entity owners
- S••••••• A• I•• · Ownerdirect · owns 75% or more
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 |
|---|---|---|---|---|---|
| Havre De Grace, Md | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- HNW RAUM · unset to 0.0Apr 10, 2025 to Apr 28, 2026
- Individual RAUM · unset to 0.0Apr 10, 2025 to Apr 28, 2026
- Pension RAUM · unset to 0.0Apr 10, 2025 to Apr 28, 2026
- Pooled vehicle RAUM · unset to 0.0Apr 10, 2025 to Apr 28, 2026
- Accounts · unset to 0.0Oct 30, 2024 to Apr 10, 2025
- Financial planning clients · unset to Oct 30, 2024 to Apr 10, 2025
- HQ city · unset to Oct 30, 2024 to Apr 10, 2025
- HQ state · unset to Oct 30, 2024 to Apr 10, 2025
- Discretionary RAUM · unset to 0.0Oct 30, 2024 to Apr 10, 2025
- Non-discretionary RAUM · unset to 0.0Oct 30, 2024 to Apr 10, 2025
- RAUM · unset to 0.0Oct 30, 2024 to Apr 10, 2025
- Wrap assets (manager) · unset to 0.0Feb 2, 2024 to Feb 23, 2024
- Wrap assets (sponsor) · unset to 0.0Feb 2, 2024 to Feb 23, 2024
- Accounts · 0.0 to unsetFeb 1, 2023 to Jan 4, 2024
- Advisory employees · 2 to 1Feb 1, 2023 to Jan 4, 2024
- State-registered IARs · 2 to 1Feb 1, 2023 to Jan 4, 2024
- Other offices · 1 to 0Feb 1, 2023 to Jan 4, 2024
- Discretionary RAUM · 0.0 to unsetFeb 1, 2023 to Jan 4, 2024
- Non-discretionary RAUM · 0.0 to unsetFeb 1, 2023 to Jan 4, 2024
- RAUM · 0.0 to unsetFeb 1, 2023 to Jan 4, 2024
- Other offices · 0 to 1Jan 25, 2023 to Feb 1, 2023
Signals
2 dated events
- T•••• F•••• left Q••••••••• F•••••• L•• for W••••• M••• E••••••••• I••• (registered 2024-08-29)Nov 2, 2023 · Advisor changed firm · fact
- Q••••••••• F•••••• L•• filed its initial SEC registration (Form ADV)Dec 22, 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
- Website
- q•••••••••.ioreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 4437529529reportedpublic record, Form ADV, Apr 28, 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
- No RAUM reportedderiveda 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