N
N
Wealth Manager · Small ($100M–$1B)
CRD 124042
·
☆ Save with Pro
ADV data as of Apr 02, 2025
- Regulatory AUM
- $174M
- Discretionary
- $165M
- Clients
- 97
- Avg AUM / client
- $1.8M
- Accounts
- 537
- Employees
- 7
AUM over time
$111M
$200M
Feb 9, 2012
Apr 2, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Apr 02, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 45 | $24.7M | 14.2% |
| High net worth individuals | 50 | $142M | 81.4% |
| Corporations and other businesses | 2 | $7.6M | 4.38% |
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
- • Other fees
- • BLENDED FEES BASED ON % OF AUM, NW AND SCOPE OF ENGAGEMENT
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Publication of periodicals or newsletters
- • Educational seminars/workshops
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $157M (90% of AUM) Apr 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: Apr 02, 2025.