Quad Investment Management Corp.
- Regulatory AUM
- $2.6B
- Discretionary
- $2.6B
- Clients
- 67
- Avg AUM / client
- $39.2M
- Accounts
- 75
- Employees
- 45
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 12, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| High net worth individuals | 3 | $5.4M | 0.2% |
| Pooled investment vehicles (non-investment companies) | 36 | $858M | 32.7% |
| Other investment advisers | 8 | $62.4M | 2.38% |
| Sovereign wealth funds and foreign official institutions | 2 | $1.6B | 61.0% |
| Corporations and other businesses | 18 | $97.5M | 3.72% |
People (5)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Kim, Jungwoo | Shareholder | Aug 2010 (16y) | 10% – 25% | |
| Hwang, Hosung | Chief Executive Officer | Feb 2014 (13y) | 10% – 25% | |
| Han, Sangkyoon | Chief Investment Officer | Jan 2015 (12y) | 5% – 10% | |
| Byun, Heeku | Chief Compliance Officer | Jan 2018 (9y) | Less than 5% | |
| Jonghyuk, Jung | Chief Financial Officer | May 2018 (8y) | Less than 5% |
Undisclosed: 30% – 75% 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) | 03/12/2026 | 1.22 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: THE REGULATORY ACTION IS FOR NEGLECTING TO SEEK THE FSS' APPROVAL PRIOR TO ESTABLISHING A SUBSIDIARY COMPANY BACK IN JUNE 2019. Status: Final Sanction Detail: ON OCTOBER 14, 2021, THE KOREAN FINANCIAL SUPERVISORY SERVICE (THE "FSS") ISSUED A 'CAUTION' TO THE CHIEF EXECUTIVE OFFICER (CEO) OF QUAD AND IMPOSED A FINE OF KRW 16,000,000 (APPROXIMATELY USD 15,000) AND QUAD REPORTED ITS FULL PAYMENT OF FINE TO THE FSS ON DECEMBER 15, 2021. Summary: THE DECISION CAME AFTER A ROUTINE ON-SITE EXAMINATION CONDUCTED BY THE FSS FOR TWO WEEKS IN MARCH 2021.
Allegations: THE REGULATORY ACTION IS FOR NEGLECTING TO SEEK THE FSS' APPROVAL PRIOR TO ESTABLISHING A SUBSIDIARY COMPANY BACK IN JUNE 2019. Status: Final Sanction Detail: ON 14 OCTOBER 2021, THE KOREAN FINANCIAL SUPERVISORY SERVICE (THE "FSS") ISSUED A 'CAUTION' TO THE CHIEF EXECUTIVE OFFICER (CEO) OF QUAD AND IMPOSED A FINE OF KRW 16,000,000 (APPROXIMATELY USD 15,000) AND ON 15 DECEMBER 2021, QUAD REPORTED ITS FULL PAYMENT OF FINE TO THE FSS. Summary: THE DECISION CAME AFTER A ROUTINE ON-SITE EXAMINATION CONDUCTED BY THE FSS FOR TWO WEEKS IN MARCH 2021.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Performance-based fees
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Citibank $1.4B (53% 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 12, 2026.
View current Form ADV (SEC/IAPD) ↗