Qcm, LLC (San Francisco)

Name: Qcm, LLC
Address: 311 California Street, San Francisco, CA, 94104
Telephone: (415) 738-0288

Qcm, LLC is a large advisory firm based in San Francisco. It manages $200.24 million of regulatory assets for 185 client accounts. It has been registered with the SEC as an adviser since 2007 and has operated in the jurisdictions of Arizona, California, Hawaii, and 7 other states.

Qcm provides financial planning services, portfolio management for individuals and small businesses, portfolio management for investment companies, and portfolio management for businesses and institutional clients. It prepares financial plans for more than 100 clients. On top of advisory services, the firm doesn't engage in other business activities.

Qcm: assets under management

The assets under management (AUM) of Qcm, LLC is $200.24 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -13% since the beginning of its operation, and $7.24 million of the total AUM is attributable to clients outside of the United States.

The firm manages $200.24 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.08 million each.

Investments

The firm invests in exchange traded securities the most. They account for 54% of the total AUM. The second-largest asset type is investment and business development companies, which make up 39% of the firm’s portfolio. Investments in cash and cash equivalents form 3% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Qcm, LLC for their services and products based on a percentage of assets under management, hourly charges, and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Stephen Andrew Bradley serves?

The firm provides services to individuals, investment companies, and high net worth individuals. The largest group of clients of Stephen Andrew Bradley is high net worth individuals with 51 clients and $90.67 million of assets under management. Among the 7 most similar advisory firms, Qcm has the 3rd lowest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $137 million for 127 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 1% of the firm’s clients are foreign persons or businesses.

Qcm doesn't advise any private funds.

Careers at Qcm, LLC

The company employs 13 people that are either part- or full-time employees. 46 percent of the employees work as investment advisers or researchers. 4 employees are registered as investment adviser representatives with the state securities authorities.

There’s a single person with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Stephen Andrew Bradley has been acting as President since 1 Jan 2007. Howard Bernard Aschwald has served as the Chief Investment Officer since 1 Aug 1996 and Peter Charles Sinatra is the Chief Executive Officer of Qcm, LLC family office. Fsb Sterling Bank And Trust joined the executive team most recently as the Direct Owner/Parent Holding Company.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Howard Bernard Aschwald	Chief investment officer	1 Aug 1996	Other	1080548
Stephen Andrew Bradley	President/ chief compliance officer	1 Jan 1997	Other	28342
Matthew Allen Johnson	Managing director	1 Nov 2006	Other	3000166
Llc Focus Financial Partners	Member	1 Jan 2007	75% - 100%	16-1728260
Stephen Andrew Bradley	President/ chief compliance officer	1 Jan 2007	Other	28342
Howard Bernard Aschwald	Executive vice president	1 Jan 2007	Other	1080548
Michael Reid Vogel	Managing director	1 Sep 2009	Other	1444904
Llc Quantum Fund	Direct owner/parent holding company	1 Jan 2010	75% - 100%	20-8178659
Peter Charles Sinatra	Chief executive officer	1 Jan 2010	Other	2445979
Brett Jonathan Myer	Managing director	1 Feb 2010	Other	5751547
Brett Jonathan Meyer	Managing director	1 Feb 2010	Other	5751547
Stephen Andrew Bradley	Managing director	1 Jan 2011	Other	4902208
Timothy Darin Chatard	Portfolio manager	1 Mar 2013	Other	2168272
Stephen Andrew Bradley	Chief operating officer	1 Apr 2013	Other	4902208
Daniel Craig Young	Chief compliance officer	1 Aug 2014	Other	4557518
John Dennis Clifford	Chief operations officer	1 Aug 2014	Other	4109924
Fsb Sterling Bank And Trust	Direct owner/parent holding company	1 Apr 2017	75% - 100%	38-2524834

Indirect Owners

The SEC currently registers 12 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Inc. Sterling Bancorp	Parent holding company	1 Apr 1994	75% - 100%	38-3163775
Llc Summit Partners Vi (Gp)	General partner	1 Dec 2000	Other	04-3540852
Erwin Aaron Rubenstein	Trustee	1 Jan 2003	Other	6448709
L.P. Summit Ventures Via	Member	1 Jan 2006	50% - 75%	04-3540853
K.I.S.S. Dynasty Trust No. 9	Shareholder	1 May 2006	25% - 50%	20-6771830
Erwin Aaron Rubenstein	Trustee	1 May 2006	Other	6448709
The First National Bank In Sioux Falls	Trustee	1 May 2006	Other	46-0189380
L.P. Summit Ventures Via	Member	1 Jan 2007	50% - 75%	04-3540853
Scott J. Seligman Revocable Living Trust	Member	1 Jan 2010	25% - 50%	xxx-xx-xxxx
Scott Joel Seligman	Trustee	1 Jan 2010	Other	6448746
Llc Sinatra Equity Partners	Member	1 Jan 2010	Other	20-8784848
Joshua James Seligman Irrevocable Trust No. 1	Member	1 Dec 2010	25% - 50%	20-6402657

Based in San Francisco

The principal office where Qcm, LLC performs its advisory services is located at 311 California Street, San Francisco, CA 94104, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number (415) 738-0288 or by fax (415) 738-0280. The normal business hours are 7:00am - 4:00pm on Monday - Friday. You can find more information about the New York firm at quantumcap.com.