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
T•• Q•••• G•••• L••
Latest filing Feb 17, 2026
First filing on the tape Dec 18, 2024 · 7 filings
SEC status approved since Jan 17, 2025
RAUM
$111M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
67%
$74.1M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$111M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$111M as of Feb 17, 2026
Feb 20, 2025$0 then
HNW client RAUM$74.1M as of Feb 17, 2026
Jun 16, 2025$94.6M then
State-registered IARs (5.B.3)1 as of Feb 17, 2026
Feb 20, 20251 then
Employees (5.A)3 as of Feb 17, 2026
Feb 20, 20253 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Feb 17, 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
- $111MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 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
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $8.5M, 2 clientsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$74.1M67%
- Corporations and businesses$37.2M33%
- Individual clients
- n/areported
- HNW clients
- 34reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 84reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $8.5M for 2 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.67 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L••••• C••••••••• Q•••• | New York, Ny | Feb 19, 2025 | 18 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
- L••••• C••••••••• Q•••• from S•••••• N••••••• • C••••••• I•••••••••Feb 19, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••• E••••••••• A••• · Owner And Chief Compliance Officercontrolsince 12/2024 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 79 to 84Sep 3, 2025 to Feb 17, 2026
- HNW clients · 33 to 34Sep 3, 2025 to Feb 17, 2026
- Assets in custody · $7.3M to $8.5MSep 3, 2025 to Feb 17, 2026
- Discretionary RAUM · $100M to $111MSep 3, 2025 to Feb 17, 2026
- HNW RAUM · $94.6M to $74.1MSep 3, 2025 to Feb 17, 2026
- RAUM · $100M to $111MSep 3, 2025 to Feb 17, 2026
- Accounts · 0 to 79Mar 10, 2025 to Jun 16, 2025
- Corporate clients · unset to 3.0Mar 10, 2025 to Jun 16, 2025
- HNW clients · unset to 33.0Mar 10, 2025 to Jun 16, 2025
- Assets in custody · unset to 7328772.0Mar 10, 2025 to Jun 16, 2025
- Custody of client assets · false to trueMar 10, 2025 to Jun 16, 2025
- Financial planning clients · unset to Mar 10, 2025 to Jun 16, 2025
- Discretionary RAUM · $0 to $100MMar 10, 2025 to Jun 16, 2025
- HNW RAUM · unset to 94612239.0Mar 10, 2025 to Jun 16, 2025
- RAUM · $0 to $100MMar 10, 2025 to Jun 16, 2025
- Related adviser · false to trueFeb 20, 2025 to Mar 10, 2025
- BD registered reps · 0 to 1Dec 18, 2024 to Feb 20, 2025
- Employees · 2 to 3Dec 18, 2024 to Feb 20, 2025
Signals
1 dated events
- T•• Q•••• G•••• L•• filed its initial SEC registration (Form ADV)Dec 18, 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
- Business phone
- 800-962-0418reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- t•••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 6464963900reportedpublic record, Form ADV, Feb 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
- $111Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026