{"url":"https://nivawealth.com/firms/applied-quantitative-investments-339159","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/339159","regulatoryAum":107861049,"crd":"339159","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"7855346","suffix":null,"lastName":"Chambers","firstName":"Austin","middleName":null},{"crd":"7434268","suffix":null,"lastName":"Stacey","firstName":"Boman","middleName":"Bird"},{"crd":"6645528","suffix":null,"lastName":"WRAY","firstName":"JEFFREY","middleName":null}],"total":3,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"secFileNumber":"801-135052","legalName":"Applied Quantitative Investments LLC","displayName":"Applied Quantitative Investments","slug":"applied-quantitative-investments-339159","website":"https://aqinvest.com/","classification":{"segment":"institutions","segmentLabel":"Institutional","type":"institutional_asset_manager","typeLabel":"Asset manager","feeDisclosure":"payment_only"},"founded":null,"organization":"Colorado limited liability company","fiscalYearEnd":"December","headquarters":{"street":"10465 Park Meadows Drive, Suite 107","city":"Lone Tree","state":"CO","stateName":"Colorado","country":"United States","postalCode":"80124"},"tradeNames":[],"registration":{"secApproved":"5 February 2026","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":null,"staff":{"employees":11,"advisory":5,"brokerDealerReps":0,"insuranceAgents":2,"promoters":0},"aum":{"regulatory":107861049,"discretionary":107861049,"discretionaryAccounts":66,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Other investment advisers","clients":null,"fewerThan5":true,"regulatoryAum":107861049}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":107861049}],"custodyNote":"Applied Quantitative Investments has custody of client assets.","leadership":[{"name":"Jordan Gallacher","title":"Chief Executive Officer","crd":"6205745"},{"name":"Quentin Stoker","title":"Chief Compliance Officer","crd":"7174966"},{"name":"John Gillespie","title":"Managing Director","crd":"4208141"}],"ownership":[{"label":"Ironside LLC","detail":"Member in the 50% to 75% ownership band and a control person, since November 2025."},{"label":"Waterstone LLC","detail":"Member in the 10% to 25% ownership band, since November 2025."},{"label":"Keja Quid LLC","detail":"Member in the 5% to 10% ownership band, since November 2025."},{"label":"Shauna Gillespie","detail":"Indirect owner: trustee of The Shauna K. Gillespie Revocable Trust and a control person, since November 2021.","parent":"The Shauna K. Gillespie Revocable Trust"},{"label":"Nathalie Gallacher","detail":"Indirect owner: trustee of The Gem Stone Trust and a control person, since February 2021.","parent":"The Gem Stone Trust"},{"label":"Janine Gallacher","detail":"Indirect owner: trustee of The Gallacher Family Legacy Trust Dated February 3, 2021 and a control person, since February 2021.","parent":"The Gallacher Family Legacy Trust Dated February 3, 2021"},{"label":"The Shauna K. Gillespie Revocable Trust","detail":"Indirect owner: a member of Waterstone LLC in the 75% or more band and a control person, since October 2025.","parent":"Waterstone LLC"},{"label":"The Gem Stone Trust","detail":"Indirect owner: a member of Ironside LLC in the 75% or more band and a control person, since October 2025.","parent":"Ironside LLC"},{"label":"The Gallacher Family Legacy Trust Dated February 3, 2021","detail":"Indirect owner: a member of Keja Quid LLC in the 75% or more band and a control person, since April 2021.","parent":"Keja Quid LLC"}],"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"Arizona","offices":1,"addresses":[{"street":"1640 S. Stapley Drive","city":"Mesa"}]},{"state":"Colorado","offices":1,"addresses":[{"street":"10465 Park Meadows Drive, Suite 107","city":"Lone Tree","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"303-529-2740","stateRegisteredReps":5,"otherAdviserReps":5,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for businesses (other than small businesses) or institutional clients","Selection of other advisers (including private fund managers)","Educational seminars/workshops"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":71},{"label":"Investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":26},{"label":"Cash and cash equivalents","percent":2}],"privateFunds":0},"sources":{"adv1FilingDate":"8 July 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/339159/PDF/339159.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"What services does Applied Quantitative Investments offer?","answer":"Applied Quantitative Investments provides portfolio management for institutions, selecting other managers and educational seminars.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Applied Quantitative Investments use?","answer":"Applied Quantitative Investments’ separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $108M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 8 July 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Applied Quantitative Investments have?","answer":"Applied Quantitative Investments has 5 investment adviser representatives registered with state securities authorities, out of 11 employees, and 5 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 2 employees are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Applied Quantitative Investments invest in?","answer":"At the end of its last fiscal year, Applied Quantitative Investments’ separately managed accounts held 71% exchange-traded equities, 26% registered funds (mutual funds, ETFs, BDCs), 2% cash and equivalents and 1% investment grade corporate bonds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Applied Quantitative Investments?","answer":"Applied Quantitative Investments’ direct owners are Ironside LLC (50% to 75%), Waterstone LLC (10% to 25%) and Keja Quid LLC (5% to 10%).","source":"Form ADV Part 1A, Schedules A and B, filed 8 July 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Applied Quantitative Investments get paid?","answer":"Applied Quantitative Investments is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Is Applied Quantitative Investments registered with the SEC?","answer":"Yes, Applied Quantitative Investments has been registered with the SEC as an investment adviser since 5 February 2026. Its CRD number is 339159 and its SEC file number is 801-135052.","source":"Form ADV Part 1A, Item 1, filed 8 July 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Applied Quantitative Investments?","answer":"Applied Quantitative Investments’ main office is at 10465 Park Meadows Drive, Suite 107, Lone Tree, CO 80124. Its phone number is 303-529-2740. Its website is aqinvest.com.","source":"Form ADV Part 1A, Item 1.F, filed 8 July 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}