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Wealth Manager · Small ($100M–$1B)
CRD 111623
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ADV data as of Sep 29, 2025
- Regulatory AUM
- $280M
- Discretionary
- $274M
- Clients
- 122
- Avg AUM / client
- $2.3M
- Accounts
- 122
- Employees
- 6
AUM over time
$217M
$710M
Nov 28, 2011
Sep 29, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Sep 29, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 62 | $33.2M | 11.9% |
| High net worth individuals | 51 | $165M | 59.1% |
| Investment companies | 1 | $55.5M | 19.8% |
| Pension and profit sharing plans | 8 | $19.8M | 7.06% |
| Charitable organizations | Fewer than 5 | $1.3M | 0.48% |
| Corporations and other businesses | Fewer than 5 | $4.5M | 1.6% |
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 investment companies
- • Pension consulting services
Custody
Reported custodians
- Charles Schwab & Co. $266M (95% of AUM) Sep 2025
- U.S. Bank $55.5M (20% of AUM) Sep 2025
- Pershing $9.0M (2% of AUM) Oct 2018
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: Sep 29, 2025.