Barlow, Linda, Ann
- Regulatory AUM
- $240M
- Discretionary
- $240M
- Clients
- 265
- Avg AUM / client
- $904K
- Accounts
- 686
- Employees
- 1
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 15, 2024
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 69 | $135M | 56.2% |
| High net worth individuals | 196 | $98.9M | 41.3% |
| Pension and profit sharing plans | Fewer than 5 clients | $3.5M | 1.45% |
| Charitable organizations | Fewer than 5 clients | $2.5M | 1.06% |
People (1)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Barlow, Linda, Ann | Chief Compliance Officer | Apr 1985 (41y) | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/15/2024 | 914 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- Charles Schwab & Co. $205M (85% of AUM) Mar 2024
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: Mar 15, 2024.
View current Form ADV (SEC/IAPD) ↗