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Wealth Manager · Small ($100M–$1B)
CRD 106102
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ADV data as of Mar 24, 2025
- Regulatory AUM
- $439M
- Discretionary
- $425M
- Clients
- 471
- Avg AUM / client
- $933K
- Accounts
- 1,447
- Employees
- 8
AUM over time
$140M
$439M
Mar 2, 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) | 360 | $148M | 33.8% |
| High net worth individuals | 111 | $289M | 65.9% |
| Pension and profit sharing plans | Fewer than 5 | $1.1M | 0.24% |
| Other | Fewer than 5 | $459K | 0.1% |
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $435M (99% 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 24, 2025.