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Wealth Manager · Small ($100M–$1B)
CRD 122320
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ADV data as of Jun 12, 2025
- Regulatory AUM
- $880M
- Discretionary
- $880M
- Clients
- 1,759
- Avg AUM / client
- $500K
- Accounts
- 2,454
- Employees
- 40
AUM over time
$73.3M
$1.1B
Mar 30, 2012
Jun 12, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Jun 12, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 913 | $157M | 17.9% |
| High net worth individuals | 797 | $676M | 76.8% |
| Pension and profit sharing plans | 20 | $9.8M | 1.11% |
| Charitable organizations | 11 | $8.9M | 1.01% |
| Corporations and other businesses | 18 | $27.9M | 3.17% |
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
- LPL Financial $934M (106% of AUM) Jun 2025
- Pershing $26.4M (5% of AUM) Sep 2020
- Charles Schwab & Co. $2.0M (0% of AUM) Sep 2020
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: Jun 12, 2025.