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Wealth Manager · Small ($100M–$1B)
CRD 111324
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ADV data as of Jan 27, 2026
- Regulatory AUM
- $684M
- Discretionary
- $684M
- Clients
- 247
- Avg AUM / client
- $2.8M
- Accounts
- 489
- Employees
- 6
AUM over time
$136M
$684M
Nov 17, 2011
Jan 27, 2026
Reported AUM from Form ADV filings, plotted by filing date · as of Jan 27, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 44 | $17.1M | 2.5% |
| High net worth individuals | 188 | $624M | 91.2% |
| Pension and profit sharing plans | 10 | $10.7M | 1.57% |
| Charitable organizations | Fewer than 5 | $14.4M | 2.11% |
| Corporations and other businesses | 5 | $17.6M | 2.57% |
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
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
Custody
Reported custodians
- Charles Schwab & Co. $681M (100% of AUM) Jan 2026
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: Jan 27, 2026.