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Wealth Manager · Small ($100M–$1B)
CRD 115816
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ADV data as of Mar 04, 2026
- Regulatory AUM
- $133M
- Discretionary
- $133M
- Clients
- 116
- Avg AUM / client
- $1.1M
- Accounts
- 116
- Employees
- 2
AUM over time
$35.9M
$133M
Dec 16, 2011
Mar 4, 2026
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 04, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 63 | $23.2M | 17.5% |
| High net worth individuals | 46 | $80.1M | 60.4% |
| Pension and profit sharing plans | 5 | $24.9M | 18.8% |
| Charitable organizations | 2 | $4.5M | 3.41% |
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
Custody
Reported custodians
- National Financial Services (Fidelity) $133M (100% of AUM) Mar 2026
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 04, 2026.