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Wealth Manager · Small ($100M–$1B)
CRD 112505
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ADV data as of Oct 09, 2025
- Regulatory AUM
- $459M
- Discretionary
- $445M
- Clients
- 396
- Avg AUM / client
- $1.2M
- Accounts
- 1,125
- Employees
- 5
AUM over time
$61.0M
$459M
Jan 24, 2012
Oct 9, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Oct 09, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 358 | $264M | 57.6% |
| High net worth individuals | 28 | $139M | 30.3% |
| Pension and profit sharing plans | 1 | $201K | 0.04% |
| Charitable organizations | 7 | $54.2M | 11.8% |
| Corporations and other businesses | 2 | $979K | 0.21% |
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
- • Pension consulting services
Custody
Reported custodians
- Charles Schwab & Co. $459M (100% of AUM) Oct 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: Oct 09, 2025.