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

Quantitative Financial Strategies

Independent wealth managerCRD 331416SEC 801-135867websiteIAPD
Legal name Quantitative Financial Strategies LLC
Latest filing Aug 10, 2026
First filing on the tape Apr 17, 2026 · 3 filings
SEC status approved since Apr 16, 2026
RAUM
$156M
reported, Item 5.F
Discretionary
58%
of RAUM
Private clients
100%
$156M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$52.1M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$156M as of Aug 10, 2026
Apr 17, 2026$156M then
HNW client RAUM$155M as of Aug 10, 2026
Apr 17, 2026$155M then
State-registered IARs (5.B.3)2 as of Aug 10, 2026
Apr 17, 20262 then
Employees (5.A)3 as of Aug 10, 2026
Apr 17, 20263 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 10, 2026; every figure names its basis
Archetypes, each a printed rule
  • 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
$52.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
9derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$7.0MderivedHNW RAUM over HNW clients
Average account
$1.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
58%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived3 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$155M99%
  • Individuals$1.3M0.9%
Individual clients
5reported
HNW clients
22reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
114reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Samuel HarnischCertified Financial Planner, Chartered Financial AnalystDenver, CoJan 1, 202610 y0
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 33% of current headcount1 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Denver, Co331
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Other offices · 0 to 2
    May 15, 2026 to Aug 10, 2026
  • Other offices · 1 to 0
    Apr 17, 2026 to May 15, 2026
Signals
1 dated events
  • Parker Mayo left Quantitative Financial Strategies for Novare Capital Management (registered 2026-08-24)
    May 15, 2026 · Advisor changed firm · 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
quantitativefinancialstrategies.comreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone
714-300-5143reportedpublic record, Form ADV, Aug 10, 2026
Contact form
quantitativefinancialstrategies.com/pages/contactreportedpublished by the firm, firm site, Sep 17, 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
$52.1Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026