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Investment Adviser · Mid-sized ($1B–$10B)
CRD 110909
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ADV data as of Oct 02, 2025
- Regulatory AUM
- $7.3B
- Discretionary
- $6.6B
- Clients
- 5,672
- Avg AUM / client
- $1.3M
- Accounts
- 5,672
- Employees
- 4
AUM over time
$946M
$7.3B
Nov 2011
Oct 2025
Annual snapshots from Form ADV filings · as of Oct 02, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| High net worth individuals | 4 | $31.4M | 0.43% |
| Investment companies | 3 | $502M | 6.86% |
| Pooled investment vehicles (non-investment companies) | 7 | $717M | 9.8% |
| Pension and profit sharing plans | 23 | $76.6M | 1.05% |
| Charitable organizations | 38 | $84.6M | 1.16% |
| State or municipal government entities | 8 | $3.2B | 44.0% |
| Other investment advisers | 5,470 | $2.6B | 35.1% |
| Insurance companies | 2 | $45.1M | 0.62% |
| Corporations and other businesses | 117 | $71.0M | 0.97% |
Disciplinary disclosures
This firm answered "yes" to a disciplinary item on its latest filing. Detailed disclosure pages for this filing have not been imported yet — see the source filing below.
How they charge
- • Percentage of assets under management
- • Performance-based fees
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for investment companies
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- State Street $2.6B (35% of AUM) Oct 2025
- BNY Mellon $1.3B (18% of AUM) Apr 2024
- J.P. Morgan $616M (8% of AUM) Oct 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: Oct 02, 2025.