QUAD INVESTMENT MANAGEMENT CORP. of SEOUL, YEONGDEUNGPO-GU is an SEC-registered investment adviser (CRD 331606). Regulatory assets under management: $2.6B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Performance.
Clients served: High net worth, Pooled vehicles, Investment cos.
| Name | Role | Location |
|---|---|---|
| Jung Jonghyuk | CHIEF FINANCIAL OFFICER | — |
| Hosung Hwang | CHIEF EXECUTIVE OFFICER | — |
| Sangkyoon Han | CHIEF INVESTMENT OFFICER | — |
| Heeku Byun | CHIEF COMPLIANCE OFFICER | — |
| Jungwoo Kim | SHAREHOLDER | — |
| BYUN HEEKU | CHIEF COMPLIANCE OFFICER | — |
| JONGHYUK JUNG | CHIEF FINANCIAL OFFICER | — |
| HWANG HOSUNG | CHIEF EXECUTIVE OFFICER | — |
| HAN SANGKYOON | CHIEF INVESTMENT OFFICER | — |
| KIM JUNGWOO | SHAREHOLDER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-03-11 | regulatory | THE REGULATORY ACTION IS FOR LATE FILING OF A 5% REPORT UNDER KOREA REGULATIONS. | Final | — |
| 2021-10-14 | regulatory | THE REGULATORY ACTION IS FOR NEGLECTING TO SEEK THE FSS' APPROVAL PRIOR TO ESTABLISHING A SUBSIDIARY COMPANY BACK IN JUNE 2019. | Final | $12K |
| 2021-10-14 | regulatory | THE REGULATORY ACTION IS FOR NEGLECTING TO SEEK THE FSS' APPROVAL PRIOR TO ESTABLISHING A SUBSIDIARY COMPANY BACK IN JUNE 2019. | Final | $15K |