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Wealth Manager · Small ($100M–$1B)
CRD 104638
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ADV data as of Mar 19, 2025
- Regulatory AUM
- $315M
- Discretionary
- $315M
- Clients
- 109
- Avg AUM / client
- $2.9M
- Accounts
- 214
- Employees
- 5
AUM over time
$219M
$315M
Dec 2011
Dec 2024
Annual snapshots from Form ADV filings · as of Mar 19, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 48 | $27.1M | 8.59% |
| High net worth individuals | 52 | $198M | 62.7% |
| Pension and profit sharing plans | Fewer than 5 | $13.8M | 4.39% |
| Charitable organizations | Fewer than 5 | $10.3M | 3.26% |
| Insurance companies | Fewer than 5 | $37.0M | 11.7% |
| Corporations and other businesses | 9 | $29.4M | 9.34% |
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- RBC $277M (88% of AUM) Mar 2025
- Charles Schwab & Co. $192M (85% of AUM) Apr 2019
- U.S. Bancorp Investments, Inc. $37.0M (12% of AUM) Mar 2025
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having 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: Mar 19, 2025.