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Investment Adviser · Mid-sized ($1B–$10B)
CRD 111335
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ADV data as of Mar 24, 2025
- Regulatory AUM
- $2.2B
- Discretionary
- $2.2B
- Clients
- 564
- Avg AUM / client
- $3.9M
- Accounts
- 564
- Employees
- 18
AUM over time
$688M
$6.7B
Mar 30, 2012
Mar 24, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 24, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 418 | $503M | 22.8% |
| High net worth individuals | 31 | $95.0M | 4.31% |
| Investment companies | 2 | $250M | 11.4% |
| Pooled investment vehicles (non-investment companies) | 1 | $106M | 4.82% |
| Pension and profit sharing plans | 7 | $12.5M | 0.57% |
| Charitable organizations | 44 | $244M | 11.1% |
| State or municipal government entities | 6 | $51.7M | 2.35% |
| Other investment advisers | 2 | $444M | 20.1% |
| Corporations and other businesses | 36 | $427M | 19.4% |
| Other | 17 | $70.2M | 3.19% |
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
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
- Fidelity Investments $574M (11% of AUM) Jun 2020
- Fidelity Brokerage Services $554M (12% of AUM) Sep 2024
- J.P. Morgan $505M (11% of AUM) Sep 2024
- U.S. Bancorp Investments, Inc. $358M (5% of AUM) Mar 2022
- Charles Schwab & Co. $328M (15% of AUM) Mar 2025
- State Street $318M (14% of AUM) Mar 2025
- Wells Fargo $313M (14% of AUM) Mar 2025
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: Mar 24, 2025.