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RIA / WealthRegistered advisermixed wealth managerSEC registeredRAUM 100m 1b

QUANTITATIVE PROCESS, LLC

CRD 165699

CHARLOTTE, NC

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:6339e2e0-c967-e7ea-dc89-5e7dea0a06fd

Data as of Feb 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 2
On other graphs: 0
Observed: Feb 24, 2014 to Feb 27, 2026
20 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: mixed wealth managerderivedprivate_client_share=0.21 fund_share=0.0 institutional_share=0.79 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $502MItem 5.F on the latest filing (2026-02-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $217M
Private client RAUM: $104MderivedItem 5.D individuals plus high net worth individuals
Private client share: 21%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $167Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 3
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 288
Individual clients: 111
High net worth clients: 46
SEC number: 801-79279
CRD: 165699
Filings on the tape: 20
First filed: Feb 24, 2014
Latest filed: Feb 27, 2026
Organised: Limited Liability Company, NC
Website: quantpro.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
RICHARD PATRICK ROGERS	n/a	CHARLOTTE, NC	12	29	2	no
JOSEPH PATRICK LINDSLEY	n/a	CHARLOTTE, NC	12	35	2	no
HELEN WEBB GODWIN	n/a	Charlotte, NC \| CHARLOTTE, NC	12	22	2	no

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
LINDSLEY, JOSEPH, PATRICK	MANAGING MEMBER & CHIEF COMPLIANCE OFFICER	D	yes	10/2012	Feb 24, 2014	Mar 7, 2024
ROGERS, RICHARD, PATRICK	Member	D	yes	03/2013	Feb 24, 2014	Mar 7, 2024

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
2025	Feb 27, 2026	$502M	$217M	3	3	0	n/a	n/a
2024	Mar 13, 2025	$454M	$204M	3	3	0	n/a	n/a
2023	Mar 7, 2024	$408M	$177M	3	3	0	n/a	n/a
2022	Mar 23, 2023	$382M	$155M	3	3	0	n/a	n/a
2021	Mar 15, 2022	$466M	$185M	3	3	0	n/a	n/a
2020	Mar 18, 2021	$279M	$27.0M	3	3	0	n/a	n/a
2019	Mar 27, 2020	$249M	$21.6M	3	3	0	n/a	n/a
2018	Apr 1, 2019	$205M	$18.6M	3	3	0	n/a	n/a
2017	Mar 26, 2018	$196M	$5.6M	3	3	0	n/a	n/a
2016	Feb 15, 2017	$158M	$0	3	3	n/a	n/a	n/a
2015	Mar 19, 2016	$140M	$0	3	3	n/a	n/a	n/a
2014	Mar 23, 2015	$143M	$0	3	3	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

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
2025	$502M	$454M	10.5%	$382M	9.5%	3	3	0	0

Relationships

Registered with (3)

← JOSEPH PATRICK LINDSLEYAdvisorregistration: previous registration
Jan 10, 2013 to Mar 17, 2014factForm ADV
← HELEN WEBB GODWINAdvisorregistration: previous registration
Jan 9, 2013 to Mar 17, 2014factForm ADV
← RICHARD PATRICK ROGERSAdvisorregistration: previous registration
Jan 9, 2013 to Mar 17, 2014factForm ADV

Controls (2)

← LINDSLEY, JOSEPH, PATRICKOwnerMANAGING MEMBER & CHIEF COMPLIANCE OFFICER, ownership code D, individual
Feb 24, 2014 to Mar 7, 2024factForm ADV
← ROGERS, RICHARD, PATRICKOwnerMEMBER, ownership code D, individual
Feb 24, 2014 to Mar 7, 2024factForm ADV

Dated events

Occurred
Mar 15, 2022
Regulatory AUM changed
Quantitative Process, Llc reported RAUM $465.8M, up 67% from $279.3M (2021-03-18 to 2022-03-15)
Form ADVobserved 5 days ago
$186M
Occurred
Feb 24, 2014
First Form ADV filing
Quantitative Process, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6339e2e0-c967-e7ea-dc89-5e7dea0a06fd
First observed: Feb 24, 2014
Last observed: Feb 27, 2026 6 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.

QUANTITATIVE PROCESS, LLC

CRD 165699

CHARLOTTE, NC

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:6339e2e0-c967-e7ea-dc89-5e7dea0a06fd

Data as of Feb 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:53 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

RICHARD PATRICK ROGERS

n/a

CHARLOTTE, NC

JOSEPH PATRICK LINDSLEY

n/a

CHARLOTTE, NC

HELEN WEBB GODWIN

n/a

Charlotte, NC | CHARLOTTE, NC

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

LINDSLEY, JOSEPH, PATRICK

MANAGING MEMBER & CHIEF COMPLIANCE OFFICER

yes

10/2012

Feb 24, 2014

Mar 7, 2024

ROGERS, RICHARD, PATRICK

Member

yes

03/2013

Feb 24, 2014

Mar 7, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Feb 27, 2026

$502M

$217M

n/a

2024

Mar 13, 2025

$454M

$204M

n/a

2023

Mar 7, 2024

$408M

$177M

n/a

2022

Mar 23, 2023

$382M

$155M

n/a

2021

Mar 15, 2022

$466M

$185M

n/a

2020

Mar 18, 2021

$279M

$27.0M

n/a

2019

Mar 27, 2020

$249M

$21.6M

n/a

2018

Apr 1, 2019

$205M

$18.6M

n/a

2017

Mar 26, 2018

$196M

$5.6M

n/a

2016

Feb 15, 2017

$158M

n/a

2015

Mar 19, 2016

$140M

n/a

2014

Mar 23, 2015

$143M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$502M

$454M

10.5%

$382M

9.5%