{ "crd_number": 331606, "slug": "quad-investment-management-corp-seoul-yeongdeungpo-gu-331606", "primary_business_name": "QUAD INVESTMENT MANAGEMENT CORP.", "legal_name": "QUAD INVESTMENT MANAGEMENT CORP.", "dbas": [], "city": "Seoul, Yeongdeungpo-Gu", "state": null, "country": "Korea, South", "cbsa_code": null, "metro": null, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2025-11-21", "years_registered": 0, "period": "2026-10-01", "filing_date": "2026-03-12", "carried_forward": false, "raum_total": 2623829206.0, "raum_discretionary": 2561462382.0, "raum_non_discretionary": 62366824.0, "raum_band": "1b_5b", "raum_band_label": "$1 billion to $5 billion", "total_employees": 45, "advisory_employees": 24, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "other_investment_advisers": { "raum": 62366823.0, "count": 8 }, "high_net_worth_individuals": { "raum": 5378579.0, "count": 3, "fewer_than_5": true }, "pooled_investment_vehicles": { "raum": 857767263.0, "count": 36 }, "corporations_other_businesses": { "raum": 97533039.0, "count": 18 }, "sovereign_wealth_foreign_official": { "raum": 1600783502.0, "count": 2, "fewer_than_5": true } }, "compensation_types": [ "percentage_of_aum", "performance_based" ], "advisory_activities": [ "portfolio_management_businesses_institutional", "portfolio_management_individuals", "portfolio_management_pooled_vehicles" ], "wrap_fee_participant": false, "disclosure_yes_count": 1, "states_registered": [], "websites": [ "https://quadim.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/331606", "disclosure_items": [ { "item": "11.D(2)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?" } ], "city_as_filed": "SEOUL, YEONGDEUNGPO-GU", "url": "https://advisorcensus.com/firm/quad-investment-management-corp-seoul-yeongdeungpo-gu-331606", "display_name": "Quad Investment Management Corp.", "summary": "Quad Investment Management Corp. is an SEC-registered investment advisory firm in Seoul, Yeongdeungpo-Gu, Korea, South, registered since 2025, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated March 12, 2026.", "citation": "AdvisorCensus. Quad Investment Management Corp. (CRD 331606): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Performance-based fees" ], "advisory_activity_labels": [ "Portfolio management for individuals and/or small businesses", "Portfolio management for pooled investment vehicles (other than investment companies)", "Portfolio management for businesses (other than small businesses) or institutional clients" ], "quick_answers": [ { "q": "How is Quad Investment Management Corp. compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Quad Investment Management Corp. reports these compensation arrangements: a percentage of assets under its management; performance-based fees. The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Quad Investment Management Corp. located?", "a": "Quad Investment Management Corp.'s principal office is in Seoul, Yeongdeungpo-Gu, Korea, South, according to its Form ADV." }, { "q": "Is Quad Investment Management Corp. registered with the SEC or a state?", "a": "Quad Investment Management Corp. is an SEC-registered investment advisory firm, registered since 2025. Status as filed: Approved. CRD 331606." }, { "q": "How much does Quad Investment Management Corp. manage?", "a": "Quad Investment Management Corp. reports $2,623,829,206 in regulatory assets under management in its Form ADV filing dated March 12, 2026 (98% discretionary)." }, { "q": "What types of clients does Quad Investment Management Corp. serve?", "a": "By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (36); corporations or other businesses not listed above (18); other investment advisers (8)." }, { "q": "Which custodians does Quad Investment Management Corp. use?", "a": "Quad Investment Management Corp.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Citibank, N.A. as a custodian holding 10% or more of its separately managed account assets." }, { "q": "Does Quad Investment Management Corp. report any disciplinary disclosures?", "a": "Reports 1 disclosure item on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/331606" }, { "q": "What changed in Quad Investment Management Corp.'s recent Form ADV filings?", "a": "In the April 2026 filing data: Regulatory assets under management went from $2,278,254,422 to $2,623,829,206 (+15%). Employees performing advisory functions went from 23 to 24." } ], "filing_history": [ { "period": "2025-10-01", "regulatory_assets_under_management": null, "total_employees": null, "filing_date": "2025-02-11" }, { "period": "2026-10-01", "regulatory_assets_under_management": 2623829206.0, "total_employees": 45, "filing_date": "2026-03-12" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Regulatory assets under management went from $2,278,254,422 to $2,623,829,206 (+15%).", "Employees performing advisory functions went from 23 to 24." ] }, { "period": "2025-12-01", "period_label": "December 2025", "notes": [ "Moved from exempt reporting adviser status to SEC registration." ] } ], "fees_from_brochure": null, "custodians": [ { "name": "Citibank, N.A.", "name_as_filed": "CITIBANK, N.A.", "affiliated": false } ], "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.", "markdown_url": "https://advisorcensus.com/firm/quad-investment-management-corp-seoul-yeongdeungpo-gu-331606.md", "clients": [ { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 3, "fewer_than_5": true, "raum": 5378579.0 }, { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 36, "fewer_than_5": false, "raum": 857767263.0 }, { "type": "other_investment_advisers", "label": "Other investment advisers", "count": 8, "fewer_than_5": false, "raum": 62366823.0 }, { "type": "sovereign_wealth_foreign_official", "label": "Sovereign wealth funds and foreign official institutions", "count": 2, "fewer_than_5": true, "raum": 1600783502.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": 18, "fewer_than_5": false, "raum": 97533039.0 } ], "disclosure_line": "Reports 1 disclosure item on Form ADV Item 11.", "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/331606", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }