ITEM 5 FEES AND COMPENSATION
expenses, and a possible distribution fee. You could invest in a mutual fund directly, without our services. In that
case, you would not receive the services provided by our firm which are designed, among other things, to assist
the client in determining which mutual fund or funds are consistent with your financial condition and investment
objectives. Accordingly, you should review both the fees charged by the funds and our fees to fully understand the
total amount of fees to be paid by you as well as the other expenses and costs that you will incur, some of which
are also described in this Brochure and to thereby evaluate the advisory services being provided.
Additional Fees and Expenses: In addition to our advisory fees, you are also responsible for the fees and
expenses charged by custodians and imposed by broker dealers, including, but not limited to, any transaction
charges imposed by a broker dealer with which an independent investment manager effects transactions for your
account(s). Please refer to the "Brokerage Practices" section (Item 12) of this Brochure for additional information.
Rollovers of Qualified Retirement Plans, 401(k), 403(b), Etc.: In addition to the other information provided in this
Brochure, the following information is also relevant to clients with assets within a qualified plan. As a client of
our firm, you may seek a recommendation as to whether or not you should rollover a qualified plan (e.g. 401(k) or
403(b)) to an account under our management or leave the funds in your current plan. Since our fees are charged as
a percentage of assets under management, in accordance with our stated annual fee schedule, a recommendation
to rollover these funds to us could present a potential conflict of interest in that we have an economic incentive to
have you transfer those plan assets into an account that we will manage. Accordingly, you should consider both
our fees and the fees and expenses of your current retirement plan when making your decision.
When making any recommendation, we will always seek to put your interests first consistent with our fiduciary
duty as a Registered Investment Advisor. We will supervise the activities of our personnel to reasonably ensure
that these potential conflicts of interest do not impair the judgment of our personnel about what is in your interest.
Further, our advice to you to rollover your plan assets into an account under our management will be based on
your financial situation and investment recommendations. No client is under any obligation to roll over retirement
plan assets to an account managed by Quadrant. Quadrant’s Chief Compliance Officer, Karen J. Alvarado,
remains available to address any questions that a client may have regarding its prospective engagement and the
corresponding potential conflict of interest presented by such engagement.
Grandfathering of Minimum Account Requirements: Pre-existing advisory clients are subject to our minimum
account requirements and advisory fees in effect at the time you entered into the advisory relationship. Therefore,
our firm's minimum account requirements may differ among clients.
Advisory Fees in General: You should note that similar advisory services may (or may not) be available from other
registered (or unregistered) investment advisers for similar or lower fees.
Limited Prepayment of Fees: Under no circumstances do we require or solicit payment of fees in excess of $1,200
more than six months in advance of services rendered. We do not require payment of fees in advance.
Neither Quadrant, nor its representatives, receive any compensation from PGB or its affiliates for the
recommendation of PGB’s products and services to its clients.
ITEM 6 P E R F O R M A N C E- B A S E D F E E S A N D S I D E- B Y - S I D E M A N A G E M E N T
We do not charge performance-based fees.
PART 2A OF FORM ADV: QUADRANT CAPITAL MANAGEMENT BROCHURE PAGE 7