QUANTBASE
QUANTBASE, LLC Legal Name
Adviser information for QUANTBASE last updated from Form ADV on February 29th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Virginia, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 3 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2,500 | $7.9M |
| Non-Discretionary | 0 | $0 |
| Total | 2,500 | $7.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 2,500 | $7.9M |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 7.9M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| QUANTBASE | QUANTBASE |
Identifiers
| SEC RIA File Number | 801-122782 |
|---|---|
| SEC ERA File Number | 801-122782 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 315414 |
| Legal Entity Identifier | None |
Principal Office
30 WALL STREETSTE 812
NEW YORK CITY
NY
United States
Monday - Friday, 9-5
Tel: 804-709-6974, Fax: None
Chief Compliance Officer
SOM D. MOHAPATRA
CHIEF INVESTMENT OFFICER
30 WALL STREET
STE 812
NEW YORK CITY
NY
United States
Tel:
804-709-6974
S**@***************M
(Full email address available in API data)
Regulatory Contact
THOMAS J. STEWART
CHIEF EXECUTIVE OFFICER
30 WALL STREET
STE 812
NEW YORK CITY
NY
United States
Tel:
5406563127
T*****@***************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| Stewart, Thomas, Jakob | Individual | – | CHIEF EXECUTIVE OFFICER | 09/2021 | < 5% |
| Mohapatra, Som, Dev | Individual | – | CHIEF INVESTMENT OFFICER AND CHIEF COMPLIANCE OFFICER | 09/2021 | < 5% |
| QUANTBASE INVESTMENTS, INC. | Domestic Entity | – | MEMBER | 09/2021 | > 75% |
| Stewart, Thomas, Jakob | Individual | QUANTBASE INVESTMENTS, INC. | SHAREHOLDER (COMMON) | 09/2021 | 50-75% |
| Mohapatra, Som, Dev | Individual | QUANTBASE INVESTMENTS, INC. | SHAREHOLDER (COMMON) | 09/2021 | 50-75% |
| Calderwood, Robert, Allen | Individual | QUANTBASE INVESTMENTS, INC. | SHAREHOLDER (COMMON) | 03/2022 | 25-50% |