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Wealth Manager · Small ($100M–$1B)
CRD 104553
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ADV data as of Nov 24, 2025
- Regulatory AUM
- $193M
- Discretionary
- $193M
- Clients
- 894
- Avg AUM / client
- $216K
- Accounts
- 894
- Employees
- 14
AUM over time
$140M
$269M
Dec 9, 2011
Nov 24, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Nov 24, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 861 | $142M | 73.7% |
| High net worth individuals | 31 | $50.2M | 26.0% |
| Charitable organizations | 1 | $585K | 0.3% |
| Corporations and other businesses | 1 | $11.2K | 0.01% |
Disciplinary disclosures
This firm answered "yes" to a disciplinary item on its latest filing. Detailed disclosure pages for this filing have not been imported yet — see the source filing below.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
- • Educational seminars/workshops
Custody
Reported custodians
- Pershing $61.9M (32% of AUM) Nov 2025
- Sei Investments Distribution Co. $8.7M (4% of AUM) Jan 2025
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Nov 24, 2025.