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
A••
Legal name A•••••• Q••••••••• I••••••••• L••
Latest filing Jul 8, 2026
First filing on the tape Jan 29, 2026 · 4 filings
SEC status approved since Feb 5, 2026
RAUM
$108M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$36.0M
derived; firm RAUM over IAPD count
Employees
11
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$108M as of Jul 8, 2026
Jan 29, 2026$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Jul 8, 2026
Jan 29, 20265 then
Employees (5.A)11 as of Jul 8, 2026
Jan 29, 202611 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 8, 2026; every figure names its basis
- RAUM per advisor
- $36.0MderivedRAUM 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
- $1.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.7derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, selection of other advisers, educational seminarsreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$108M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 66reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- B•••• B••• S••••• from G•••••••• C•••••• M••••••••• L••Jul 7, 2026 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••••• J•••••• K•••• · Chief Executive Officercontrolsince 11/2025 · owns less than 5%
- G••••••••• J•••• C• · Managing Directorcontrolsince 11/2025 · owns less than 5%
- S•••••• Q••••••• G•••••• · Chief Compliance Officercontrolsince 11/2025 · owns less than 5%
Entity owners
- I••••••• L•• · Memberdirect · owns 50% to 75%
- K••• Q••• L•• · Memberdirect · owns 5% to 10%
- W••••••••• L•• · Memberdirect · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Lone Tree, Co · principal | 3 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 0 to 66May 6, 2026 to Jun 5, 2026
- Financial planning clients · to 0May 6, 2026 to Jun 5, 2026
- Discretionary RAUM · $0 to $108MMay 6, 2026 to Jun 5, 2026
- RAUM · $0 to $108MMay 6, 2026 to Jun 5, 2026
- Business name · A•••••• Q••••••••• I••••••••• L•• to AQIJan 29, 2026 to May 6, 2026
Signals
2 dated events
- John C Gillespie, registered through G•••••••• C•••••• M••••••••• L•• (Lone Tree, CO), is a direct owner of Aqi, an adviser first registered 2026-01-29; in 2023-2025, 164 of 330 such owners registered at this class of firm moved to the new adviser within a year, median 92 days after the filingJan 29, 2026 · Owner of a newly registered adviser · fact
- Quentin Garrett Stoker, registered through G•••••••• C•••••• M••••••••• L•• (Lone Tree, CO), is a direct owner of Aqi, an adviser first registered 2026-01-29; in 2023-2025, 164 of 330 such owners registered at this class of firm moved to the new adviser within a year, median 92 days after the filingJan 29, 2026 · Owner of a newly registered adviser · 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
- a•••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 303-529-2740reportedpublic record, Form ADV, Jul 8, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $36.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026