Quantitative Process, Llc
- Regulatory AUM
- $502M
- Discretionary
- $217M
- Clients
- 205
- Avg AUM / client
- $2.4M
- Accounts
- 288
- Employees
- 3
AUM over time
Annual snapshots from Form ADV filings · as of Feb 27, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 111 | $22.1M | 4.41% |
| High net worth individuals | 46 | $81.4M | 16.2% |
| Pension and profit sharing plans | 48 | $399M | 79.4% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Goulston Technologies, Inc 401(k) & Defined Ctbn Retirement Svgs Plan Goulston Technologies, Inc. | 2024 | |
| The Presbyterian Home At Charlotte, Inc. 401(k) Plan The Presbyterian Home At Charlotte Inc. | 2024 |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Joseph Patrick Lindsley | Managing Member & Chief Compliance Officer | Oct 2012 (14y) | 50% – 75% | |
| Richard Patrick Rogers | Member | Mar 2013 (13y) | 50% – 75% | |
| Helen Webb Godwin | Registered representative | Jun 2014 (12y) |
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.
Retirement plans served (2)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Goulston Technologies, Inc 401(k) & Defined Ctbn Retirement Svgs Plan | Goulston Technologies, Inc. | 115 | $31.0M | 01/01/2024 |
| The Presbyterian Home At Charlotte, Inc. 401(k) Plan | The Presbyterian Home At Charlotte Inc. | 153 | $6.8M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 02/27/2026 | 853 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- Ascensus Trust Company $169M (41% of AUM) Mar 2024
- Vanguard Financial Group, Inc. $147M (36% of AUM) Mar 2024
- Charles Schwab & Co. $73.6M (18% of AUM) Mar 2024
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: Feb 27, 2026.
View current Form ADV (SEC/IAPD) ↗