QUARTZ PARTNERS, LLC

CRD

174327

SEC file #

801-80822

EIN

452545384

DBA names

Quartz Partners Investment Management

Economics

AUM

$397.8M

AUM band

$100M-$500M

AUM trajectory

'20 · $54.7M

'21 · $52.8M

'22 · $50.9M

'23 · $50.9M

'25 · $281.0M

'26 · $397.8M

'20'26

$54.7M → $397.8M▲ +627%

sec adv history

Client mix

Individuals Other	621
Individuals High Net Worth	67
Pension Profit Sharing Plans	8
Other Investment Advisers	5
Corporations	3

Operations

Employees (total)

Advisory staff (per ADV)

Advisory staff (5-yr trend)

'20 · 2 advisors

'21 · 2 advisors

'22 · 2 advisors

'23 · 2 advisors

'25 · 13 advisors

'26 · 22 advisors

'20'26

2 advisors → 22 advisors▲ +1000%

sec adv history

Primary office

SARATOGA SPRINGS NY

Branches

—

Custodian & Brokerage

Primary custodian

Charles Schwablow confidence

adv brochure

Services offered

Financial planningPortfolio mgmt — individualsPortfolio mgmt — businessesPension consulting

Fee basis

% of AUMFixed fees

Filings

Latest ADV filing

12/26/2025

ADV-W filed at

—

Website

eticofinancial.com

Compliance

Disclosures (firm)

Trademark

—

Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name

ETICO FINANCIAL, LLC

Top Owner Pct

87.5

Top Owner Entity Kind

Owner Count

Control Persons

ETICO FINANCIAL, LLC

ARENA, JOSEPH, WILLIAM

Solo Advisor Indicator

Succession Risk Solo Owner

Is Parent Owned Subsidiary

Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed

sec adv w

Web presence ★

Stale website = winding down

Web Signal Quality

Rdap Domain

ETICOFINANCIAL.COM

Rdap Domain Creation Date

2022-08-26T20:59:11Z

Rdap Firm Age Years

Rdap Firm Age Band

<5y

Rdap Registrar

Wix.com Ltd.

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book

form 5500

SEC EDGAR

Edgar Cik

0001659978

Edgar Registered

Yes

Edgar Filing Count

Edgar First Filing Date

2024-11-08

Edgar Last Filing Date

2026-05-05

Edgar 13f Count

Edgar 13f Latest AUM Estimate

Filing Date2026-05-05

Accession0001062993-26-002318

Compliance & brand

Firm Registration Status

active

sec adv w

All other collected signals (16)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed

sec adv w

Bc Firm Active Bc Count

brokercheck firm search

Bc Firm Active IA Count

brokercheck firm search

Bc Firm IAR Count

brokercheck firm search

Custodian Candidates

Full

Charles Schwab	6
E*trade	4
Lpl Financial	3
Bny Mellon	1

adv brochure

Edgar Addresses

Mailing

85 RAILROAD PLACESUITE 101ASARATOGA SPRINGS, NY 12866

Business

85 RAILROAD PLACESUITE 101ASARATOGA SPRINGS, NY 12866

Edgar EIN

452545384

Edgar Recent Filings

13F-HR2026-05-05 · 0001062993-26-002318

13F-HR2026-02-13 · 0001062993-26-000933

Firm Has Custody

Mailing Office Differs

Rdap Domain Expiration Date

2028-08-26T20:59:11Z

Rdap Domain Last Changed

2025-07-27T14:31:28Z

Rdap Nameservers

Ns0.wixdns.netNs1.wixdns.net

Rdap Secure Dns Enabled

Rdap Status

Client Transfer ProhibitedClient Update Prohibited

Trust Company Affiliate

People (28)

LEO, JOSEPH, ALBERT

4988004

GILBERT, JOSHUA, TYLER

6578136

WEBBER, KYLE, PATRICK

5093059

ARENA, JOSEPH, WILLIAM