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Wealth Manager · Small ($100M–$1B)
CRD 119139
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ADV data as of Aug 01, 2025
- Regulatory AUM
- $454M
- Discretionary
- $454M
- Clients
- 232
- Avg AUM / client
- $2.0M
- Accounts
- 588
- Employees
- 2
AUM over time
$112M
$454M
Dec 12, 2011
Aug 1, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Aug 01, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 101 | $31.1M | 6.86% |
| High net worth individuals | 124 | $410M | 90.3% |
| Pension and profit sharing plans | 2 | $6.3M | 1.38% |
| Charitable organizations | 3 | $1.4M | 0.3% |
| Corporations and other businesses | 2 | $5.2M | 1.15% |
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
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $266M (59% of AUM) Aug 2025
- National Financial Services (Fidelity) $188M (41% of AUM) Aug 2025
- Fidelity Brokerage Services $181M (53% of AUM) Jan 2018
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having 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: Aug 01, 2025.