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•••••• P•••••••• M••••••••• L••
Latest filing Apr 27, 2026
First filing on the tape Apr 6, 2023 · 11 filings
SEC status approved since May 9, 2023
RAUM
$340M
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
25%
$85.3M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$67.9M
derived; firm RAUM over IAPD count
Employees
7
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$340M as of Apr 27, 2026
Mar 20, 2024$371M then
HNW client RAUM$81.5M as of Apr 27, 2026
Mar 20, 2024$36.8M then
State-registered IARs (5.B.3)6 as of Apr 27, 2026
Mar 20, 20244 then
Employees (5.A)7 as of Apr 27, 2026
Mar 20, 20244 then
Private funds: no history
RAUM +15% over the last fiscal yearIARs 4 to 6
Practice profile
derived from the filing of Apr 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $67.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 7derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 90%derivedof RAUM
- Institutional
- 75%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -35%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- $305MreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Charitable organizations$254M75%
- High-net-worth individuals$81.5M24%
- Individuals$3.8M1.1%
- Individual clients
- 12reported
- HNW clients
- 24reported
- Pension plan clients
- n/areported
- Charitable clients
- 10reported
- Accounts
- 234reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.25 fund_share=0.0 institutional_share=0.75 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••• C••••• | New York, Ny | May 19, 2023 | 16 y | 4 |
| K•••••• B•••• E•••••• | New York, Ny | May 19, 2023 | 10 y | 2 |
| J•• A• D••••• | New York, Ny | May 22, 2023 | 25 y | 5 |
| M•••••• C•••••• L•••••• | San Francisco, Ca | Jul 19, 2023 | 10 y | 2 |
| A••••• R•••••• Z•••••• | New York, Ny | Sep 4, 2025 | 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
- M•••••• C•••••• L•••••• from L•• F•••••••• L••Jul 19, 2023 · RIA to a newly registered adviser
- J•• A• D••••• from R•••••• J•••• • A••••••••• I•••May 22, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
- M•••• C••••• from R•••••• J•••• • A••••••••• I•••May 19, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
- K•••••• B•••• E•••••• from R•••••• J•••• • A••••••••• I•••May 19, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from R•••••• J•••• • A••••••••• I•••Jun 21, 2023 · New York, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• J••• A• · Managing Partnercontrolsince 02/2023 · owns less than 5%
- L••• M•••• · Chief Compliance Officercontrolsince 02/2023 · owns less than 5%
Entity owners
- A••• W••••• M••••••••• L•• · Ownerdirect · owns 50% to 75%
- S••••••• M•• L•• · Ownerdirect · owns 25% to 50%
- A••• B••••••• T••••• L•• · Ownerindirect · owns 75% or more of A••• I••••••••• P•••••••• L••
- A••• I••••••••• P•••••••• L•• · Ownerindirect · owns 75% or more of A••• M•••• L••
- A••• M•••• L•• · Ownerindirect · owns 75% or more of A••• W••••• M••••••••• L••
- F••••••• I••••••••• C•••••• · Ownerindirect · owns 75% or more of I•••• C•••••• P••••••• L••
- I•••• C•••••• P••••••• L•• · Ownerindirect · owns 75% or more of S••••••• M•• L••
- R•••••• C•••••• P••••••• F••• I• G•• P•• L•• · Ownerindirect · owns F of A••• B••••••• T••••• L••
Related persons
Schedule D 7.A
- I•••• T••••••••• G•••• L••investment advisernRAUM $178M
Advisers that list Q•••••• P•••••••• M••••••••• L•• as a related person
- 327771 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Apr 27, 2026institutional share of RAUM of 75% against a peer median of 0% (5676 comparable advisers, 100.0th percentile, 25.1 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 267 to 234Jun 13, 2025 to Mar 23, 2026
- Advisory employees · 4 to 6Jun 13, 2025 to Mar 23, 2026
- Charity clients · 8 to 10Jun 13, 2025 to Mar 23, 2026
- Corporate clients · 2.0 to unsetJun 13, 2025 to Mar 23, 2026
- HNW clients · 30 to 24Jun 13, 2025 to Mar 23, 2026
- Individual clients · 25 to 12Jun 13, 2025 to Mar 23, 2026
- Pension plan clients · 2.0 to unsetJun 13, 2025 to Mar 23, 2026
- Employees · 5 to 7Jun 13, 2025 to Mar 23, 2026
- State-registered IARs · 4 to 6Jun 13, 2025 to Mar 23, 2026
- Discretionary RAUM · $295M to $305MJun 13, 2025 to Mar 23, 2026
- HNW RAUM · $56.2M to $81.5MJun 13, 2025 to Mar 23, 2026
- Individual RAUM · $6.5M to $3.8MJun 13, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $0 to $34.7MJun 13, 2025 to Mar 23, 2026
- Pension RAUM · 12529377.0 to unsetJun 13, 2025 to Mar 23, 2026
- RAUM · $295M to $340MJun 13, 2025 to Mar 23, 2026
- Financial planning clients · unset to Mar 28, 2025 to Jun 13, 2025
- Accounts · 416 to 267Jan 6, 2025 to Mar 28, 2025
- Business name · Q•••••• P•••••••• M••••••••• to Q•••••• P•••••••• M••••••••• L••Jan 6, 2025 to Mar 28, 2025
- Charity clients · 1 to 8Jan 6, 2025 to Mar 28, 2025
- Corporate clients · 11 to 2Jan 6, 2025 to Mar 28, 2025
- HNW clients · 14 to 30Jan 6, 2025 to Mar 28, 2025
- Pension plan clients · 1 to 2Jan 6, 2025 to Mar 28, 2025
- Employees · 4 to 5Jan 6, 2025 to Mar 28, 2025
- Insurance-licensed employees · 0 to 4Jan 6, 2025 to Mar 28, 2025
- Legal name · C••••• I•••• S••••••• L•• to Q•••••• P•••••••• M••••••••• L••Jan 6, 2025 to Mar 28, 2025
- Discretionary RAUM · $363M to $295MJan 6, 2025 to Mar 28, 2025
- HNW RAUM · $36.8M to $56.2MJan 6, 2025 to Mar 28, 2025
- Individual RAUM · $10.1M to $6.5MJan 6, 2025 to Mar 28, 2025
- Non-discretionary RAUM · $7.8M to $0Jan 6, 2025 to Mar 28, 2025
- Pension RAUM · $1.6M to $12.5MJan 6, 2025 to Mar 28, 2025
- RAUM · $371M to $295MJan 6, 2025 to Mar 28, 2025
- Accounts · 180 to 416Jan 8, 2024 to Mar 20, 2024
- Charity clients · 2 to 1Jan 8, 2024 to Mar 20, 2024
- Corporate clients · 4 to 11Jan 8, 2024 to Mar 20, 2024
- HNW clients · 9 to 14Jan 8, 2024 to Mar 20, 2024
- Individual clients · 27 to 25Jan 8, 2024 to Mar 20, 2024
- State-registered IARs · 3 to 4Jan 8, 2024 to Mar 20, 2024
- Discretionary RAUM · $49.3M to $363MJan 8, 2024 to Mar 20, 2024
- HNW RAUM · $10.4M to $36.8MJan 8, 2024 to Mar 20, 2024
- Individual RAUM · $26.6M to $10.1MJan 8, 2024 to Mar 20, 2024
Signals
3 dated events
- Q•••••• P•••••••• M••••••••• L•• reported RAUM $370.9M, up 502% from $61.7M (2024-01-08 to 2024-03-20)Mar 20, 2024 · RAUM change · derived
- 3 advisors left R•••••• J•••• • A••••••••• I••• (New York, NY) for Q•••••• P•••••••• M••••••••• L•• on the same dayJun 21, 2023 · Team lift-out · derived
- C••••• I•••• S••••••••• L•• filed its initial SEC registration (Form ADV)Apr 6, 2023 · 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
- b••••••• phone
- 212-466-6760reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/qmpm/aboutreportedpublic record, Form ADV, Sep 18, 2026
- Website
- q•••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-466-6760reportedpublic record, Form ADV, Apr 27, 2026
- Contact form
- q•••.comreportedpublished 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $67.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026