Skip to main content
Fidelon

Qic is a investment adviser based in New York, NY, that holds a 63.9/100 Fidelon TransparencyScore (th percentile), with 22 registered advisors. Score based on public SEC and FINRA filings.

63.9Transparency Score
Bottom4%

Qic

A registered investment adviser with a clean regulatory record.

12 East 49th Street, 36th Floor, New York, NY, 10017
212-224-8900Website
Investment AdviserFiduciary
Prep Kit

Fidelon Fact Sheet

Qic is an investment adviser that reports a clean regulatory record. The firm is based in New York, NY. It manages private funds, runs educational seminars, and sends investment newsletters. Clients pay the firm a percentage of their account balance each year. The firm also holds client money, which means it or a related party can access those funds.

63.9FairBottom 4% of scored firms
How they're paidPaid more when your account grows — a conflict to weigh.
Performance-based fees
Duty to youLegally required to put your interests first.
Registered adviser · fiduciary
Assets under managementAcross 21 client accounts.
$7.5B
Firm size
22 advisors
Who holds your moneyThe firm or a related party can hold or access client funds.
Custody disclosed
Regulatory recordNo customer complaints, regulatory actions, or fines on file.
Clean — 0 disclosures
Based on live filings from SEC Form ADV and FINRA BrokerCheck. Scored using Fidelon's published methodology. Data as of Jun 2026

Peer Context

Compare Qic to other firms in NY →Find more financial advisors in New York →

Key Findings

Strengths

  • Registered as investment adviser with fiduciary obligation
  • Clean regulatory record — no disclosures, arbitrations, or fines

Things You Should Know

  • Fee disclosure could be more detailed — regulatory filings describe fee schedules and service terms less clearly than top-scoring peers

Conflict Audit

Conflict AuditMultiple Conflicts

Multiple structural conflicts identified in regulatory filings. These are disclosed business arrangements — worth asking about, not disqualifying.

✓
Not registered as broker-dealer
✓
No commissions on advisory accounts
⚠
Receives compensation from sources other than client fees
✓
No related-party custodian
⚠
Charges performance-based fees — may incentivize riskier strategies
⚠
Also sells commodity trading — can earn money beyond advisory fees

Source: Form ADV Part 1, Items 6-8; Part 2A, Items 10-14

Regulatory Events

Next Steps

This firm's score reflects some areas where disclosure could improve. Here's what that means for you.
Ask your advisor about the findings
The items flagged above are worth raising directly. Get a personalized meeting prep kit with questions drawn from this firm's filings.
Get Meeting Prep Kit →
See how other firms compare
Browse higher-rated firms in your state. A second opinion costs nothing — the score comparison might change how you think about your options.
Find Top-Rated Firms →
Look up your specific advisor
Individual advisors can score differently than their firm. Check your advisor's personal transparency score.
Find Your Advisor →

Advisor Roster

Meeting Prep Kit for Qic

Walk into your next meeting fully prepared. We'll generate a meeting prep kit based on Qic's actual regulatory filings — not generic advice.

✓Fee structure breakdown
✓Conflict of interest analysis
✓Regulatory track record
✓Fiduciary status check
✓Personalized questions to ask
✓How they compare locally

Get your free Firm Meeting Prep Report

A complete dossier on Qic — download instantly so you're the most prepared person in the room.

PDF reportInstant delivery100% free

We never sell your information or share it with advisors unless you ask us to.

Monitor this firm

Get notified when something changes — new complaints, score movements, firm changes. Free.

Free: 1 advisor, monthly status report. Pro ($7/mo): up to 5, instant alerts, pending complaints.

Is this your profile?

Claim it to understand your TransparencyScore, unlock your level, and track changes over time.

Claim Profile

Frequently Asked Questions

What does the TransparencyScore measure?

The TransparencyScore measures how clearly and completely an advisor or firm discloses important information in their regulatory filings — things like fees, conflicts of interest, disciplinary history, and business practices. A higher score means better disclosure quality, not better investment performance.

Where does this data come from?

All data comes from public regulatory filings: SEC Form ADV (Parts 1, 2, and 3), FINRA BrokerCheck, and the SEC's Investment Adviser Public Disclosure (IAPD) database. These are official filings that firms and advisors are legally required to submit.

Does a low score mean they're a bad advisor?

Not necessarily. A low score means the firm's public filings are less transparent — they may use vague language about fees, skip details about conflicts, or have a more complex regulatory history. Some excellent advisors work at firms with poor disclosure practices. The score measures the filing, not the person.

How often is this data updated?

Fidelon refreshes data from SEC and FINRA sources on a regular schedule. Form ADV filings are updated annually by firms (with amendments throughout the year), and BrokerCheck data is updated as events are reported. Scores are recalculated after each data refresh.

Can an advisor or firm improve their score?

Yes. Scores are based on what's in public filings. A firm that rewrites its ADV brochure in clearer language, discloses conflicts more specifically, or resolves outstanding regulatory issues will see its score improve at the next refresh. The incentive structure is intentional.

Data Sources

SEC Form ADV Part 1 — Filed Jun 2026SEC Form ADV Part 2ASEC IAPDFINRA BrokerCheck

Scores are generated using Fidelon's published scoring methodology and reflect the quality of public disclosures, not the quality of investment advice. A firm that improves its disclosures will see its score improve. Fidelon does not provide investment advice.

Verify on SEC IAPD

Last scored: · Score version: 3.8 · CRD #161705