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Wealth Manager · Small ($100M–$1B)
CRD 107829
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ADV data as of Feb 04, 2025
- Regulatory AUM
- $568M
- Discretionary
- $568M
- Clients
- 482
- Avg AUM / client
- $1.2M
- Accounts
- 1,382
- Employees
- 6
AUM over time
$320M
$568M
Nov 11, 2011
Feb 4, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Feb 04, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 291 | $152M | 26.8% |
| High net worth individuals | 191 | $414M | 73.0% |
| Charitable organizations | Fewer than 5 | $1.3M | 0.23% |
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
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $409M (72% of AUM) Feb 2025
- Tiaa Cref Individual & Institutional Services, Llc $129M (23% of AUM) Feb 2025
- Fidelity Brokerage Services $29.7M (5% of AUM) Feb 2025
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: Feb 04, 2025.