Quad Investment Management Corp.

Registered investment adviser · Seoul, Yeongdeungpo-gu · CRD #331606

Form ADV data as of 2026-09-01

Regulatory assets

$2.62 billion

Total accounts

Employees

Disclosure events

Firm details

Website: http://www.quadim.com
Telephone: +822 786 1830
SEC file number: 801-134528
Most recent Form ADV filing: 2026-03-12
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 1 disclosure question answered Yes, covering 3 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.

Another regulator found a violation of investment-related regulations or statutes

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$2.56 billion
Non-discretionary regulatory assets under management	$62.4 million
Total regulatory assets under management	$2.62 billion
Discretionary accounts	59
Non-discretionary accounts	16
Total accounts	75
Regulatory assets under management attributable to non-U.S. persons	$2.17 billion

People

Total employees (excluding clerical)	45
Employees performing investment advisory functions (including research)	24
Employees who are registered representatives of a broker-dealer	0
Employees registered as investment adviser representatives with a state	0
Employees registered as IARs for another investment adviser	0
Employees who are licensed insurance agents	0
Firms or persons who solicit advisory clients on the firm's behalf	0

Custody

Has custody of client cash or bank accounts	No
Has custody of client securities	No
A related person has custody of client cash or bank accounts	No
A related person has custody of client securities	No
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	No

How the firm is compensated

A percentage of assets under managementPerformance-based fees

Advisory services offered

Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Buys or sells for itself securities it also recommends to clients
Recommends brokers or dealers to clients
Receives soft dollar benefits

Client types

Type of client	Clients	Assets
High net worth individuals	3	$5.4 million
Pooled investment vehicles (other than investment companies and BDCs)	36	$857.8 million
Other investment advisers	8	$62.4 million
Sovereign wealth funds and foreign official institutions	2	$1.60 billion
Corporations or other businesses not listed above	18	$97.5 million