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PRIME QUADRANT

TORONTO, Canada · CRD 322068 · IAPD ↗ · 212-365-7400

$849.3MRegulatory AUM
3Advisory reps
4Employees
1Clients
11-25Planning clients
0Private funds
3States
0Disclosures
foreignSegment
ApprovedSEC status

Filing changes

17
October 2026 — PRIME QUADRANT notice-filed in NC, OH.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
25
December 2025 — PRIME QUADRANT added office(s): 2 -> 5 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
25
August 2025 — PRIME QUADRANT added office(s): 1 -> 2 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
55
April 2025 — PRIME QUADRANT crossed $1B in regulatory AUM ($354.9M -> $1.05B).
Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
23
April 2024 — PRIME QUADRANT shrank from 5 to 3 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
38
April 2024 — PRIME QUADRANT now reports custody of client assets ($75.5M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
43
April 2024 — PRIME QUADRANT reported RAUM up 89% ($188.2M -> $354.9M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.