PK Quantitative Investing, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$4,680,129
Total clients
8
13% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
8
Average account size
$585,016
About
PK Quantitative Investing, LLC is a small independent registered investment adviser that provides ongoing portfolio management and related investment planning to individual clients, including high-net-worth individuals. The firm documents client objectives in an Investment Policy Statement and accepts discretionary authority to implement and monitor client portfolios.
The adviser follows a core-and-satellite approach, using passive index funds for the core and actively selected index/ETF/mutual fund and occasional individual equity or bond positions for satellite allocations. Its methods draw on quantitative, technical, fundamental and cyclical analysis, and the firm will employ options strategies (including covered, uncovered and spread positions) as part of its trading toolbox.
Notable operational characteristics for a one-advisor firm managing approximately $4,680,129 for eight clients include a requirement that clients custody accounts at Schwab Institutional and a stated policy not to aggregate trades across client accounts. Combined with the use of active satellite selection and options trading without third‑party managers, these practices are relatively uncommon for firms of this size and can affect execution, liquidity and trade allocation.
Client services
Portfolio management
Expertise
Options & derivatives strategies
Passive / index investing
Active portfolio management
Fee options
$0 - $2,500,000: 0.75% $2,500,001 - $5,000,000: 0.50% $5,000,001 - And Up: 0.35%
Main office location
PK Quantitative Investing, LLC
Tucson AZ, United States
Number of offices
1
Most active in
PK Quantitative Investing, LLC has reported serving >5 clients in these states in the last 12 months.
Arizona · Texas
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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