Quantitative Asset Management, Llc
- Regulatory AUM
- $187M
- Discretionary
- $187M
- Clients
- 155
- Avg AUM / client
- $1.2M
- Accounts
- 155
- Employees
- 2
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 27, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 109 | $36.1M | 19.3% |
| High net worth individuals | 44 | $138M | 73.6% |
| Charitable organizations | 2 | $13.4M | 7.14% |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Jeffrey Lee Farni | Managing Member/President | Jan 2007 (20y) | 25% – 50% | |
| Farni, Patricia, Catherine | Inactive Owner | Apr 2007 (19y) | 50% – 75% | |
| John C Farni | Executive Vice President / Investment Advisor / Chief Compliance Officer | Sep 2015 (11y) | Less than 5% |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/27/2026 | 998 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: FAILURE TO FILE CRS IN A TIMELY MANNER. Status: Final Sanction Detail: $25000 FINE PAID ON 8/3/2021 Summary: ON JUNE 4, 2021, THE SEC FOUND THAT THE FIRM VIOLATED SECTIONS 204-1 AND 204-5 OF THE INVESTMENT ADVISERS ACT OF 1940 FOR FAILING TO COMPLY WITH ITS NEWLY ENACTED REGULATORY OBLIGATION TO FILE FORM CRS WITH THE COMMISSION, DELIVER IT TO ITS RETAIL INVESTORS AND POST IT ON ITS WEBSITE BY THE REQUIRED REGULATORY DEADLINES. THE FIRM HAS SINCE COMPLIED WITH ITS REGULATORY OBLIGATIONS REGARDING FORM CRS AND PAID THE APPLICABLE FINE. IN ADDITION, THE FIRM HAS ADOPTED AND IMPLEMENTED ADDITIONAL POLICIES AND PROCEDURES TO PREVENT A SIMILAR RECURRENCE.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- Charles Schwab & Co. $187M (100% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 27, 2026.
View current Form ADV (SEC/IAPD) ↗