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
V••••••• A••••••• L••
Latest filing Mar 24, 2026
First filing on the tape Nov 1, 2024 · 5 filings
SEC status approved since Dec 2, 2024
RAUM
$174M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
100%
$174M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$58.1M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$174M as of Mar 24, 2026
Mar 25, 2025$139M then
HNW client RAUM$107M as of Mar 24, 2026
Mar 25, 2025$90.2M then
State-registered IARs (5.B.3)3 as of Mar 24, 2026
Mar 25, 20253 then
Employees (5.A)5 as of Mar 24, 2026
Mar 25, 20255 then
Private funds: no history
RAUM +26% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $58.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 97derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $312,071derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +25%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$107M61%
- Individuals$67.9M39%
- Individual clients
- 234reported
- HNW clients
- 58reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 559reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• R••••• H•••••••Certified Financial Planner, Chartered Financial Analyst | Houston, Tx | Jan 2, 2025 | 21 y | 2 |
| S•••••• M•••• J•••••• | Houston, Tx | Jan 2, 2025 | 36 y | 3 |
| M•••••• P•••••• G••••• | Houston, Tx | Jan 3, 2025 | 30 y | 3 |
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•••••• P•••••• G••••• from O•••• A••••••• S•••••••• L••Jan 3, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- S•••••• M•••• J•••••• from O•••• A••••••• S•••••••• L••Jan 2, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- M•••••• R••••• H••••••• from O•••• A••••••• S•••••••• L••Jan 2, 2025 · 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 O•••• A••••••• S•••••••• L••Dec 31, 2024 · Atlanta, Ga
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• M••••••• P•••••• · Owner/Ccocontrolsince 10/2024 · owns 50% to 75%
- J••••••• S••••••• M•••• · Ownercontrolsince 10/2024 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Houston, Tx · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 441 to 559Aug 29, 2025 to Mar 24, 2026
- Advisory activities · 4 to 3Aug 29, 2025 to Mar 24, 2026
- HNW clients · 55 to 58Aug 29, 2025 to Mar 24, 2026
- Individual clients · 179 to 234Aug 29, 2025 to Mar 24, 2026
- Financial planning clients · 0 to 51-100Aug 29, 2025 to Mar 24, 2026
- Discretionary RAUM · $135M to $169MAug 29, 2025 to Mar 24, 2026
- HNW RAUM · $90.2M to $107MAug 29, 2025 to Mar 24, 2026
- Individual RAUM · $48.6M to $67.9MAug 29, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $3.8M to $5.0MAug 29, 2025 to Mar 24, 2026
- RAUM · $139M to $174MAug 29, 2025 to Mar 24, 2026
- Advisory activities · 3 to 4Mar 25, 2025 to Aug 29, 2025
- Financial planning clients · 0 to 0Mar 25, 2025 to Aug 29, 2025
- Accounts · unset to 441.0Nov 18, 2024 to Mar 25, 2025
- HNW clients · unset to 55.0Nov 18, 2024 to Mar 25, 2025
- Individual clients · unset to 179.0Nov 18, 2024 to Mar 25, 2025
- Discretionary RAUM · unset to 135039456.0Nov 18, 2024 to Mar 25, 2025
- HNW RAUM · unset to 90233035.0Nov 18, 2024 to Mar 25, 2025
- Individual RAUM · unset to 48608417.0Nov 18, 2024 to Mar 25, 2025
- Non-discretionary RAUM · unset to 3801996.0Nov 18, 2024 to Mar 25, 2025
- RAUM · unset to 138841452.0Nov 18, 2024 to Mar 25, 2025
Signals
2 dated events
- 3 advisors left O•••• A••••••• S•••••••• L•• (Atlanta, GA) for V••••••• A••••••• L•• on the same dayDec 31, 2024 · Team lift-out · derived
- V••••••• A••••••• L•• filed its initial SEC registration (Form ADV)Nov 1, 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.
How to reach
public business contact points only, each with its source
- Website
- viaquestfinancial.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 281-335-7609reportedpublic record, Form ADV, Mar 24, 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
- $58.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026