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Wealth Manager · Small ($100M–$1B)
CRD 121072
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ADV data as of Mar 17, 2025
- Regulatory AUM
- $199M
- Discretionary
- $175M
- Clients
- 117
- Avg AUM / client
- $1.7M
- Accounts
- 629
- Employees
- 4
AUM over time
$107M
$199M
Feb 24, 2018
Mar 17, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 17, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 58 | $39.2M | 19.7% |
| High net worth individuals | 59 | $160M | 80.3% |
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
- • Other fees
- • RETIREMENT PLAN CONSULTING -PERCENTAGE OF PLAN ASSETS
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
Custody
Reported custodians
- Charles Schwab & Co. $195M (98% 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 17, 2025.