N
N
Investment Adviser · Small ($100M–$1B)
CRD 111303
·
☆ Save with Pro
ADV data as of Jan 28, 2025
- Regulatory AUM
- $245M
- Discretionary
- $245M
- Clients
- —
- Avg AUM / client
- —
- Accounts
- 3
- Employees
- 1
AUM over time
$181M
$245M
Mar 28, 2012
Jan 28, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Jan 28, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| High net worth individuals | Fewer than 5 | $87.5M | 35.7% |
| Corporations and other businesses | Fewer than 5 | $158M | 64.3% |
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
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
Custody
Reported custodians
- National Financial Services (Fidelity) $116M (47% of AUM) Jan 2025
- Raymond James $84.5M (34% of AUM) Jan 2025
- Wells Fargo $78.6M (36% of AUM) Feb 2018
- UBS $44.2M (18% of AUM) Jan 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: Jan 28, 2025.