Quantum Advisory Group, LLC

Quantum Advisory Group provides portfolio management, financial planning, and retirement plan/pension consulting to a mix of clients including employer plan sponsors, trusts, and individuals; the firm’s brochure notes a recent transition away from private fund management and currently reports no regulatory assets under management. It also offers limited or standalone planning engagements and assistance with the design and monitoring of participant-directed retirement plans.

The firm describes an investment process that emphasizes broad diversification across equities, mutual funds, ETFs, options and fixed‑income securities and uses analytical tools such as Monte Carlo simulation to inform asset-allocation recommendations. For retirement-plan work Quantum acknowledges an ERISA fiduciary role for plan services and typically recommends and evaluates broker-dealers or other advisers it works with as part of implementing client strategies.

Distinctive aspects relative to many peers include an explicit retirement-plan/pension consulting practice and the firm’s role in selecting and monitoring other advisers, both of which are less common for firms in this category, as well as availability of hourly financial-planning engagements. The brochure also discloses affiliations with an outside advisory and an insurance entity and a disciplinary matter involving a firm management person related to books-and-records violations and a civil penalty.