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Wealth Manager · Small ($100M–$1B)
CRD 105903
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ADV data as of Jun 06, 2025
- Regulatory AUM
- $397M
- Discretionary
- $384M
- Clients
- 317
- Avg AUM / client
- $1.3M
- Accounts
- 904
- Employees
- 8
AUM over time
$213M
$448M
Jan 10, 2012
Jun 6, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Jun 06, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 199 | $65.1M | 16.4% |
| High net worth individuals | 118 | $332M | 83.6% |
| Pension and profit sharing plans | Fewer than 5 | — | — |
| Charitable organizations | Fewer than 5 | — | — |
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $346M (87% of AUM) Jun 2025
- Fidelity Brokerage Services $14.1M (6% of AUM) Jan 2021
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: Jun 06, 2025.