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Wealth Manager · Small ($100M–$1B)
CRD 111738
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ADV data as of Mar 31, 2025
- Regulatory AUM
- $558M
- Discretionary
- $558M
- Clients
- 185
- Avg AUM / client
- $3.0M
- Accounts
- 166
- Employees
- 6
AUM over time
$277M
$558M
Apr 2, 2012
Mar 31, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 31, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 24 | $4.0M | 0.72% |
| High net worth individuals | 155 | $509M | 91.3% |
| Pension and profit sharing plans | 6 | $9.1M | 1.63% |
| Charitable organizations | Fewer than 5 | $35.4M | 6.35% |
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Charles Schwab & Co. $452M (81% of AUM) Mar 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: Mar 31, 2025.