DFX Intelligence

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Former SEC-registered adviser

Q••••••••• U• I•••

Former SEC-registered adviserNew York, New YorkCRD 332328SEC 801-130905IAPD

Latest filing Jun 17, 2026

First filing on the tape Jul 11, 2024 · 8 filings

SEC status approved since Aug 12, 2024

RAUM

$29B

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

198

120 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

8 filings and snapshots on the tape

RAUM$29B as of Jun 17, 2026

Mar 5, 2025$14B then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Jun 17, 2026

Mar 5, 20250 then

Employees (5.A)198 as of Jun 17, 2026

Mar 5, 2025180 then

Private funds3 as of Jun 17, 2026

Mar 5, 20253 then

RAUM +73% over the last fiscal yearIARs 0 to 0offices 1 to 0

Practice profile

derived from the filing of Jun 17, 2026; every figure names its basis

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: unknownderivedHNW RAUM over HNW clients
Average account: $4.8BderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year: +73%derivedbetween 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, performance-basedreportedItem 5.E
Advisory activities: portfolio management for pooled vehiclesreportedItem 5.G
Custody: yesreportedItem 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)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$29B100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 6reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $0 for 0 clientsreported
Compensation: % of AUM, performancereported
Class basis: absent from the latest SEC rosterderived

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

Every departure Every arrival

Private funds

3 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
Q••••••••• C•••••• V••••• T•••••• L••••••	Hedge Fund	$3.4B	1	Jul 11, 2024
Q••••••••• C•••••• V••••• M••••• F••• L••••••	Hedge Fund	$2.2B	106	Jul 11, 2024
Q••••••••• C•••••• V••••• S• L••••••	Hedge Fund	$1.1B	2	Jul 11, 2024

Owners and control persons

Schedule A and B, latest filing

B••••••••• R••••••• S••• · Chief Financial Officercontrol
since 07/2024 · owns less than 5%
D•••••• A•••• · Chief Executive Officercontrol
since 07/2024 · owns less than 5%
G••••••• A••••••••• J••• · Directorcontrol
since 07/2024 · owns less than 5%
H•••••••• W••••••• L• · Chief Technology Officercontrol
since 07/2024 · owns less than 5%
H•••••• A••••••• S•••• · Chief Research Officercontrol
since 09/2024 · owns less than 5%
M•••••••• T•••••• L••••• H•••••• · Chief Legal Officercontrol
since 07/2024 · owns less than 5%
O•••••••• P••••• J•••• · Directorcontrol
since 02/2024 · owns less than 5%
S••••• K••• · Chief People Officercontrol
since 07/2024 · owns less than 5%
T•••••• A•••• J••• · Directorcontrol
since 02/2024 · owns less than 5%
W•••••• N•••••• L••••• · Chief Compliance Officercontrol
since 07/2024 · owns less than 5%
S•••••• S••••• · Shareholdercontrol
since 07/2023 · owns 50% to 75% of Q• V••••••• L••••••
S••••••• G••• · Shareholdercontrol
since 07/2023 · owns 50% to 75% of Q• V••••••• L••••••

Entity owners

Q• V••••••• L•••••• · Shareholder
direct · owns 75% or more

Related persons

Schedule D 7.A

Q••••••••• S•••••••• P••• L•••
investment advisern

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 5 to 6
Sep 18, 2025 to Mar 30, 2026
Advisory employees · 94 to 120
Sep 18, 2025 to Mar 30, 2026
Pooled vehicle clients · 5 to 6
Sep 18, 2025 to Mar 30, 2026
Employees · 184 to 198
Sep 18, 2025 to Mar 30, 2026
Other offices · 1 to 0
Sep 18, 2025 to Mar 30, 2026
Discretionary RAUM · $17B to $29B
Sep 18, 2025 to Mar 30, 2026
Pooled vehicle RAUM · $17B to $29B
Sep 18, 2025 to Mar 30, 2026
RAUM · $17B to $29B
Sep 18, 2025 to Mar 30, 2026
Financial planning clients · unset to
Mar 28, 2025 to Jul 15, 2025
Accounts · 6 to 5
Mar 5, 2025 to Mar 28, 2025
Advisory employees · 89 to 94
Mar 5, 2025 to Mar 28, 2025
Pooled vehicle clients · 6 to 5
Mar 5, 2025 to Mar 28, 2025
Employees · 180 to 184
Mar 5, 2025 to Mar 28, 2025
Discretionary RAUM · $14B to $17B
Mar 5, 2025 to Mar 28, 2025
Pooled vehicle RAUM · $14B to $17B
Mar 5, 2025 to Mar 28, 2025
RAUM · $14B to $17B
Mar 5, 2025 to Mar 28, 2025
Other offices · 0 to 1
Oct 30, 2024 to Mar 5, 2025
Accounts · 0 to 6
Jul 11, 2024 to Oct 30, 2024
Advisory employees · 80 to 89
Jul 11, 2024 to Oct 30, 2024
Pooled vehicle clients · 5 to 6
Jul 11, 2024 to Oct 30, 2024
Employees · 167 to 180
Jul 11, 2024 to Oct 30, 2024
Discretionary RAUM · $0 to $14B
Jul 11, 2024 to Oct 30, 2024
Pooled vehicle RAUM · $0 to $14B
Jul 11, 2024 to Oct 30, 2024
RAUM · $0 to $14B
Jul 11, 2024 to Oct 30, 2024
Related adviser · false to true
Jul 11, 2024 to Oct 30, 2024

Signals

5 dated events

••• Locked
Sep 1, 2026 · Left the SEC roster · derived
••• Locked
Mar 30, 2026 · RAUM change · derived
••• Locked
Oct 30, 2024 · Control person joined · fact
••• Locked
Oct 30, 2024 · Control person left · inference
••• Locked
Jul 11, 2024 · 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.

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: Former SEC-registered adviserderiveda 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