AdvisorCensus / Financial advisors / North Carolina / Charlotte / Quantitative Process, LLC
Quantitative Process, LLC is an SEC-registered investment advisory firm in Charlotte, NC, registered since 2014, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated February 27, 2026.
Quick answers
From the filingHow is Quantitative Process, LLC compensated?
On its Form ADV (Item 5.E, October 2026), Quantitative Process, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).
Where is Quantitative Process, LLC located?
Quantitative Process, LLC's principal office is in Charlotte, NC, according to its Form ADV.
Is Quantitative Process, LLC registered with the SEC or a state?
Quantitative Process, LLC is an SEC-registered investment advisory firm, registered since 2014. Status as filed: Approved. CRD 165699.
How much does Quantitative Process, LLC manage?
Quantitative Process, LLC reports $502,114,653 in regulatory assets under management in its Form ADV filing dated February 27, 2026 (43% discretionary).
How have Quantitative Process, LLC's assets and staff changed since 2021?
In the Form ADV data for Quantitative Process, LLC: Regulatory assets under management: $279,300,339 in the October 2021 data and $502,114,653 in the October 2026 data, up 80%. Total employees: 3 in October 2021 and 3 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does Quantitative Process, LLC serve?
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (111); pension and profit sharing plans (but not the plan participants or government pension plans) (48); high net worth individuals (46).
Does Quantitative Process, LLC report any disciplinary disclosures?
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/165699
What changed in Quantitative Process, LLC's recent Form ADV filings?
In the March 2026 filing data: Regulatory assets under management went from $454,403,768 to $502,114,653 (+10%).
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2AThe brochure lists different fees for different services or strategies. See the firm's brochure (dated February 27, 2026) for its fees and any account minimum, on the SEC's IAPD site.
Regulatory assets under management
Item 5.F$502,114,653 as of October 2026, filing dated February 27, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Portfolio management for individuals and/or small businesses
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2014 (12 years)
- Employees
- Total: 3. Performing investment advisory functions: 3.
- Wrap fee program participation
- No.
- States registered or notice-filed
-
2 states or jurisdictions
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $502,114,653 | 3 | February 27, 2026 |
| October 2025 | $454,403,768 | 3 | March 13, 2025 |
| October 2024 | $408,185,191 | 3 | March 7, 2024 |
| October 2023 | $381,992,245 | 3 | March 23, 2023 |
| October 2022 | $465,798,831 | 3 | March 15, 2022 |
| October 2021 | $279,300,339 | 3 | March 18, 2021 |
Regulatory assets under management: $279,300,339 in the October 2021 data and $502,114,653 in the October 2026 data, up 80%.
Total employees: 3 in October 2021 and 3 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 months- March 2026
- Regulatory assets under management went from $454,403,768 to $502,114,653 (+10%).
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Quantitative Process, LLC (CRD 165699): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/quantitative-process-llc-charlotte-nc-165699