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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

QUANTUM CAPITAL MANAGEMENT

QCM, LLC, CRD 143150

SAN FRANCISCO, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:15cdc7c8-efc2-ba64-b69d-f0dc8871fb6b

Data as of May 12, 2020 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 21
Dated events: 2
On other graphs: 0
Observed: Feb 13, 2012 to May 12, 2020
30 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $153MItem 5.F on the latest filing (2020-05-12); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $138M
Private client RAUM: $140MderivedItem 5.D individuals plus high net worth individuals
Private client share: 92%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 197
Individual clients: 48
High net worth clients: 47
SEC number: 801-67571
CRD: 143150
Filings on the tape: 30
First filed: Feb 13, 2012
Latest filed: May 12, 2020
Organised: Limited Liability Company, Delaware

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
ASCHWALD, HOWARD, BERNARD	CHIEF INVESTMENT OFFICER	Na	yes	08/1996	Feb 13, 2012	May 12, 2020
K.I.S.S. DYNASTY TRUST NO. 9	Shareholder	C	yes	05/2006	Jul 20, 2017	May 12, 2020
RUBENSTEIN, ERWIN, AARON	Trustee	F	yes	05/2006	Feb 24, 2015	May 12, 2020
SINATRA, PETER, CHARLES	CHIEF EXECUTIVE OFFICER	Na	yes	01/2010	Feb 13, 2012	May 12, 2020
STERLING BANCORP, INC.	PARENT HOLDING COMPANY	E	yes	04/1994	Jul 20, 2017	May 12, 2020
STERLING BANK AND TRUST, FSB	DIRECT OWNER/PARENT HOLDING COMPANY	E	yes	04/2017	Jul 20, 2017	May 12, 2020
THE FIRST NATIONAL BANK IN SIOUX FALLS	Trustee	F	yes	05/2006	Jul 20, 2017	May 12, 2020
YOUNG, DANIEL, CRAIG	CHIEF COMPLIANCE OFFICER	Na	yes	08/2014	Aug 18, 2014	May 12, 2020

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019	Mar 25, 2020	$153M	$138M	6	3	0	n/a	n/a
2018	Mar 28, 2019	$200M	$200M	13	6	0	n/a	n/a
2017	Apr 2, 2018	$496M	$453M	13	6	0	n/a	n/a
2016	Mar 31, 2017	$425M	$394M	11	9	n/a	n/a	n/a
2015	Mar 23, 2016	$798M	$798M	13	11	n/a	n/a	n/a
2014	Feb 24, 2015	$525M	$490M	13	9	n/a	n/a	n/a
2013	Mar 27, 2014	$700M	$700M	13	9	n/a	n/a	n/a
2012	Apr 1, 2013	$434M	$434M	13	8	n/a	n/a	n/a
2011	Mar 15, 2012	$342M	$315M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$153M	$200M	-23.5%	$425M	-28.8%	6	13	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
Lido	2	Dec 23, 2020	Jan 7, 2021	SAN FRANCISCO, CA	Team lift out	RIA to RIA	100.0%

Relationships

Controls (8)

← ASCHWALD, HOWARD, BERNARDOwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Feb 13, 2012 to presentfactForm ADV
← SINATRA, PETER, CHARLESOwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Feb 13, 2012 to presentfactForm ADV
← YOUNG, DANIEL, CRAIGOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Aug 18, 2014 to presentfactForm ADV
← RUBENSTEIN, ERWIN, AARONOwnerTRUSTEE, ownership code F, individual
Feb 24, 2015 to presentfactForm ADV
← K.I.S.S. DYNASTY TRUST NO. 9OwnerSHAREHOLDER, ownership code C, domestic entity
Jul 20, 2017 to presentfactForm ADV
← STERLING BANCORP, INC.OwnerPARENT HOLDING COMPANY, ownership code E, domestic entity
Jul 20, 2017 to presentfactForm ADV
← STERLING BANK AND TRUST, FSBOwnerDIRECT OWNER/PARENT HOLDING COMPANY, ownership code E, domestic entity
Jul 20, 2017 to presentfactForm ADV
← THE FIRST NATIONAL BANK IN SIOUX FALLSOwnerTRUSTEE, ownership code F, domestic entity
Jul 20, 2017 to presentfactForm ADV

Moved with (1)

→ LIDORegistered adviser2 advisors, team lift out, same day
Dec 23, 2020 to Jan 7, 2021factForm ADV

Registered with (9)

← HOWARD BERNARD ASCHWALDAdvisorregistration: previous registration
Jan 15, 2010 to Dec 23, 2020factForm ADV
← DANIEL CRAIG YOUNGAdvisorregistration: previous registration
Dec 20, 2013 to Dec 23, 2020factForm ADV
← VICKY WAI HSIAAdvisorregistration: previous registration
Mar 8, 2018 to Apr 16, 2019factForm ADV
← XIAOJIE CHENAdvisorregistration: previous registration
Oct 25, 2014 to Nov 8, 2016factForm ADV
← LYLE EILS BONNAdvisorregistration: previous registration
Jan 25, 2010 to Dec 15, 2015factForm ADV
← MICHAEL REID VOGELAdvisorregistration: previous registration
Jan 21, 2010 to Feb 10, 2015factForm ADV
← STEPHEN ANDREW BRADLEYAdvisorregistration: previous registration
Jan 15, 2010 to Aug 18, 2014factForm ADV
← BRETT JONATHAN MEYERAdvisorregistration: previous registration
Feb 1, 2010 to Mar 11, 2013factForm ADV
← MATTHEW ALLEN JOHNSONAdvisorregistration: previous registration
Jan 15, 2010 to Feb 4, 2013factForm ADV

Dated events

Occurred
Mar 25, 2020
Control person left
Dennis John Clifford (Chief Operations Officer) no longer on Schedule A of Quantum Capital Management (listed 2019-04-02, absent 2020-03-25)
Form ADVobserved 5 days ago
Occurred
Mar 28, 2019
Regulatory AUM changed
Quantum Capital Management reported RAUM $200.2M, down 60% from $496.0M (2018-04-02 to 2019-03-28)
Form ADVobserved 5 days ago
$-296M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:15cdc7c8-efc2-ba64-b69d-f0dc8871fb6b
First observed: Feb 13, 2012
Last observed: May 12, 2020 77 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

QUANTUM CAPITAL MANAGEMENT

QCM, LLC, CRD 143150

SAN FRANCISCO, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:15cdc7c8-efc2-ba64-b69d-f0dc8871fb6b

Data as of May 12, 2020 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:35 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ASCHWALD, HOWARD, BERNARD

CHIEF INVESTMENT OFFICER

yes

08/1996

Feb 13, 2012

May 12, 2020

K.I.S.S. DYNASTY TRUST NO. 9

Shareholder

yes

05/2006

Jul 20, 2017

May 12, 2020

RUBENSTEIN, ERWIN, AARON

Trustee

yes

05/2006

Feb 24, 2015

May 12, 2020

SINATRA, PETER, CHARLES

CHIEF EXECUTIVE OFFICER

yes

01/2010

Feb 13, 2012

May 12, 2020

STERLING BANCORP, INC.

PARENT HOLDING COMPANY

yes

04/1994

Jul 20, 2017

May 12, 2020

STERLING BANK AND TRUST, FSB

DIRECT OWNER/PARENT HOLDING COMPANY

yes

04/2017

Jul 20, 2017

May 12, 2020

THE FIRST NATIONAL BANK IN SIOUX FALLS

Trustee

yes

05/2006

Jul 20, 2017

May 12, 2020

YOUNG, DANIEL, CRAIG

CHIEF COMPLIANCE OFFICER

yes

08/2014

Aug 18, 2014

May 12, 2020

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Mar 25, 2020

$153M

$138M

n/a

2018

Mar 28, 2019

$200M

n/a

2017

Apr 2, 2018

$496M

$453M

n/a

2016

Mar 31, 2017

$425M

$394M

n/a

2015

Mar 23, 2016

$798M

n/a

2014

Feb 24, 2015

$525M

$490M

n/a

2013

Mar 27, 2014

$700M

n/a

2012

Apr 1, 2013

$434M

n/a

2011

Mar 15, 2012

$342M

$315M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2019

$153M

$200M

-23.5%

$425M

-28.8%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

Lido

Dec 23, 2020

Jan 7, 2021

SAN FRANCISCO, CA

Team lift out

RIA to RIA

100.0%