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Our Professionals ADV and Compliance FAQ

ADV and Compliance

Quantum Capital Management and its personnel are subject to complying with many rules and regulations including provisions of the Act and the Corporate Advisory Laws of the State of California. These rules and regulations require that Quantum Capital Management and its employees observe high standards of commercial honor, and just and equitable principles.

Federal law requires that Quantum Capital Management deal fairly and honestly with clients. It is our fiduciary obligation to use our "best efforts" to obtain the most favorable execution for each transaction executed on behalf of our client accounts. Therefore, Quantum Capital Management has adopted standards to monitor and ensure compliance with Federal law and our fiduciary obligation with respect to executing discretionary trades on behalf of clients.

The Quantum Capital Management Code of Ethics is based on the principle that supervised persons, access persons, and administrative staff members of Quantum Capital Management owe a fiduciary duty to our clients for which Quantum Capital Management serves as an advisor. This code is to protect the interests of both clients and advisors by demanding that advisory personnel perform their duties with complete propriety and do not take advantage of their position. A complete copy of our Code of Ethics is available to our clients or prospective clients upon request.


Annual Form ADV Part II Offer to Clients

Every client may request a copy or download from the links below a copy of Quantum Capital Management's most current Form ADV Part II. This document serves as our "brochure" to our clients and contains information and disclosures as required by law.

Form ADV Part II (PDF)
Form ADV Part II, Schedule F (PDF)

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