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Wealth Manager · Small ($100M–$1B)
CRD 121300
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ADV data as of Oct 07, 2025
- Regulatory AUM
- $388M
- Discretionary
- $368M
- Clients
- 178
- Avg AUM / client
- $2.2M
- Accounts
- 748
- Employees
- 7
AUM over time
$88.0M
$388M
Feb 1, 2012
Oct 7, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Oct 07, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 49 | $11.5M | 2.96% |
| High net worth individuals | 125 | $357M | 92.0% |
| Pension and profit sharing plans | 3 | $19.0M | 4.89% |
| Charitable organizations | 1 | $646K | 0.17% |
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
- • % OF ASSETS MONITORED
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Charles Schwab & Co. $304M (78% of AUM) Oct 2025
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: Oct 07, 2025.