QUANTITATIVE ASSET MANAGEMENT, LLC
Adviser information for QUANTITATIVE ASSET MANAGEMENT, LLC last updated from Form ADV on February 7th, 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 | Minnesota, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| 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 | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 179 | $171.7M |
| Non-Discretionary | 0 | $0 |
| Total | 179 | $171.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 133 | $36.8M |
| HNW Individuals | 37 | $117.7M |
| 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 | <5 | $17.2M |
| 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 |
| Other Business Activities | Broker-dealer |
Identifiers
| SEC RIA File Number | 801-67607 |
|---|---|
| SEC ERA File Number | 801-67607 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 143279 |
| Legal Entity Identifier | None |
Principal Office
641 E. LAKE STREETSUITE 216
WAYZATA
MN
United States
Monday - Friday, 8AM-5PM
Tel: 952-476-7855, Fax: 952-476-7856
Websites
Chief Compliance Officer
JOHN FARNI
SENIOR VP
641 EAST LAKE STREET, SUITE 216
WAYZATA
MN
United States
Tel:
952-476-7855
Fax:
952-476-7856
J*********@*********M
(Full email address available in API data)
Regulatory Contact
JEFFREY FARNI SR.
PRESIDENT/FINANCIAL ADVISOR
641 EAST LAKE STREET, SUITE 216
WAYZATA
MN
United States
Tel:
952-476-7858
Fax:
952-476-7856
F******@*********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 |
|---|---|---|---|---|---|
| FARNI, JEFFREY, LEE | Individual | – | MANAGING MEMBER/PRESIDENT | 01/2007 | 25-50% |
| FARNI, PATRICIA, CATHERINE | Individual | – | INACTIVE OWNER | 04/2007 | 50-75% |
| FARNI, JOHN, C | Individual | – | EXECUTIVE VICE PRESIDENT / INVESTMENT ADVISOR / CHIEF COMPLIANCE OFFICER | 09/2015 | < 5% |