N
N
Wealth Manager · Small ($100M–$1B)
CRD 105168
·
☆ Save with Pro
ADV data as of Jan 17, 2025
- Regulatory AUM
- $473M
- Discretionary
- $473M
- Clients
- 200
- Avg AUM / client
- $2.4M
- Accounts
- 200
- Employees
- 3
AUM over time
$129M
$473M
Jan 31, 2012
Jan 17, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Jan 17, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 80 | $42.4M | 8.96% |
| High net worth individuals | 105 | $374M | 79.1% |
| Pooled investment vehicles (non-investment companies) | 5 | $17.0M | 3.6% |
| Charitable organizations | 7 | $31.0M | 6.55% |
| Corporations and other businesses | 3 | $8.5M | 1.79% |
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Performance-based fees
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $468M (99% of AUM) Jan 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: Jan 17, 2025.