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Wealth Manager · Small ($100M–$1B)
CRD 107961
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ADV data as of Mar 17, 2025
- Regulatory AUM
- $202M
- Discretionary
- $202M
- Clients
- 161
- Avg AUM / client
- $1.3M
- Accounts
- 339
- Employees
- 4
AUM over time
$95.5M
$392M
Mar 28, 2012
Mar 17, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 17, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 120 | $40.0M | 19.8% |
| High net worth individuals | 41 | $140M | 69.3% |
| Banking or thrift institutions | Fewer than 5 | $1.6M | 0.78% |
| Charitable organizations | Fewer than 5 | $19.5M | 9.63% |
| Corporations and other businesses | Fewer than 5 | $1.0M | 0.5% |
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- National Exchange Bank & Trust $292M (74% of AUM) Mar 2019
- Charles Schwab & Co. $191M (94% of AUM) Mar 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: Mar 17, 2025.