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Wealth Manager · Small ($100M–$1B)
CRD 116663
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ADV data as of Nov 25, 2025
- Regulatory AUM
- $282M
- Discretionary
- $282M
- Clients
- 150
- Avg AUM / client
- $1.9M
- Accounts
- 367
- Employees
- 2
AUM over time
$145M
$282M
Mar 7, 2012
Nov 25, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Nov 25, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 86 | $57.1M | 20.3% |
| High net worth individuals | 64 | $208M | 74.0% |
| Pension and profit sharing plans | Fewer than 5 | $15.8M | 5.6% |
| Corporations and other businesses | Fewer than 5 | $216K | 0.08% |
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. $282M (100% of AUM) Nov 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: Nov 25, 2025.