QUANTITATIVE PROCESS, LLC
Adviser information for QUANTITATIVE PROCESS, LLC last updated from Form ADV on March 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 | North Carolina, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| 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 | 5 | $176.8M |
| Non-Discretionary | 263 | $231.4M |
| Total | 268 | $408.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 106 | $17.4M |
| HNW Individuals | 46 | $54.8M |
| 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 | 48 | $336.0M |
| 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 | 1 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-79279 |
|---|---|
| SEC ERA File Number | 801-79279 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 165699 |
| Legal Entity Identifier | None |
Principal Office
10700 SIKES PLACESUITE 395
CHARLOTTE
NC
United States
Monday - Friday, 8AM - 5PM, MEETINGS BY APPOINTMENT
Tel: 888-253-3292, Fax: 980-245-8991
Websites
Chief Compliance Officer
JOSEPH P. LINDSLEY SR.
MANAGING MEMBER
10700 SIKES PLACE
SUITE 395
CHARLOTTE
NC
United States
Tel:
888-253-3292
Fax:
980-245-8991
J********@***********M
(Full email address available in API data)
Regulatory Contact
RICHARD P. ROGERS JR.
MEMBER
10700 SIKES PLACE
SUITE 395
CHARLOTTE
NC
United States
Tel:
888-253-3292
Fax:
980-245-8991
R******@***********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 |
|---|---|---|---|---|---|
| LINDSLEY, JOSEPH, PATRICK | Individual | – | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | 10/2012 | 50-75% |
| ROGERS, RICHARD, PATRICK | Individual | – | MEMBER | 03/2013 | 50-75% |