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Wealth Manager · Small ($100M–$1B)
CRD 105182
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ADV data as of Mar 24, 2025
- Regulatory AUM
- $322M
- Discretionary
- $293M
- Clients
- 213
- Avg AUM / client
- $1.5M
- Accounts
- 426
- Employees
- 5
AUM over time
$261M
$459M
Mar 29, 2012
Mar 24, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 24, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 99 | $88.3M | 27.4% |
| High net worth individuals | 46 | $147M | 45.7% |
| Pension and profit sharing plans | Fewer than 5 | $56.6M | 17.6% |
| Other | 68 | $29.9M | 9.28% |
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Charles Schwab & Co. $232M (72% of AUM) Mar 2025
- Raymond James $41.1M (12% of AUM) Mar 2022
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: Mar 24, 2025.