Quantitative Process, LLC (Charlotte)

Name: Quantitative Process, LLC
Address: 10700 Sikes Place, Charlotte, NC, 28277
Telephone: 888-253-3292

Quantitative Process, LLC is a large advisory firm based in Charlotte. It manages $204.78 million of regulatory assets for 229 client accounts. It has been registered with the SEC as an adviser since 2014 and has operated in the jurisdictions of North Carolina, South Carolina, and Texas.

Quantitative Process provides portfolio management for individuals and small businesses and pension consulting services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Quantitative Process: assets under management

The assets under management (AUM) of Quantitative Process, LLC is $204.78 million. The firm's AUM has grown by 5% since the beginning of its operation, and $1.18 million of the total AUM is attributable to clients outside of the United States.

The firm manages $18.55 million in discretionary accounts and $186.23 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $6.18 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $824.01 thousand.

Investments

The firm invests in investment and business development companies the most. They account for 88% of the total AUM. The second-largest asset type is exchange traded securities, which make up 7% of the firm’s portfolio. Investments in non-exchange traded securities form 2% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Quantitative Process, LLC for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Quantitative Process serves?

The firm provides services to individuals, high net worth individuals, and pension and profit sharing plans. The largest group of clients of Quantitative Process is pension and profit sharing plans with 48 clients and $163.37 million of assets under management. Among the 7 most similar advisory firms, Quantitative Process has the highest percentage of pension and profit sharing plans out of all clients.

The amount of regulatory assets under management is $204.78 million for 169 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 1% of the firm’s clients are foreign persons or businesses.

Quantitative Process doesn't advise any private funds.

Careers at Quantitative Process, LLC

The company employs 3 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 3 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Joseph Patrick Lindsley	Managing member & chief compliance officer	1 Oct 2012	50% - 75%	1158076
Richard Patrick Rogers	Member	1 Mar 2013	50% - 75%	1983378

Based in Charlotte

The principal office where Quantitative Process, LLC performs its advisory services is located at 10700 Sikes Place, Charlotte, NC 28277, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 888-253-3292 or by fax 980-245-8991. The normal business hours are 8am - 5pm, meetings by appointment on Monday - Friday. You can find more information about the New York firm at quantpro.com.