Individual Asset Management, Inc
- Regulatory AUM
- $173M
- Discretionary
- $173M
- Clients
- 190
- Avg AUM / client
- $911K
- Accounts
- 424
- Employees
- 5
AUM over time
Annual snapshots from Form ADV filings · as of Mar 27, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 133 | $65.4M | 37.8% |
| High net worth individuals | 55 | $106M | 61.1% |
| Corporations and other businesses | 2 | $1.9M | 1.11% |
People (5)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Marian Thompson Wellman | Registered representative | Apr 2010 (16y) | ||
| Dusan Thomas Zachystal | Registered representative | CFP CFA | Dec 2013 (13y) | |
| Laura B Thomas | Registered representative | Mar 2017 (9y) | ||
| Shane K Clark | Registered representative | Jul 2020 (6y) | ||
| Scott Alan Schwartz | Registered representative | CFP | Oct 2025 (1y) |
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/27/2026 | 1.3 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
- • Performance-based fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $110M (64% of AUM) Mar 2026
- Interactive Brokers $64.2M (37% of AUM) Mar 2026
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 27, 2026.
View current Form ADV (SEC/IAPD) ↗