Quantitative Asset Management, LLC

Quantitative Asset Management, LLC provides discretionary asset management to individuals (including high-net-worth clients), trusts, estates and business entities, managing roughly $187 million for about 153 clients. Services focus on portfolio management for individual accounts, with ongoing investment selection, asset allocation, monitoring and execution under discretionary authority.

The firm uses a mix of fundamental, technical and charting analysis to build client-tailored strategies and permits a range of approaches, including long- and short-term positions, options strategies (including covered and uncovered writing) and margin trading where appropriate; clients may impose written investment restrictions. Account reviews are performed at least quarterly, clients receive custodian statements at least quarterly, and performance reporting is provided at least annually.

Distinctive features for a firm of this size include a very small advisory team managing substantial assets and the firm’s required use of a specific custodian (Charles Schwab), with the brochure disclosing potential receipt of broker-related economic benefits and soft-dollar items from custodians. The firm also disclosed an SEC enforcement finding in 2021 for a failure to timely file Form CRS, has paid the related fine, and reports adopting additional policies and procedures in response.