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Wealth Manager · Small ($100M–$1B)
CRD 124697
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ADV data as of Mar 10, 2025
- Regulatory AUM
- $217M
- Discretionary
- $216M
- Clients
- 241
- Avg AUM / client
- $899K
- Accounts
- 677
- Employees
- 5
AUM over time
$157M
$217M
Nov 9, 2011
Mar 10, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 10, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 170 | $68.1M | 31.4% |
| High net worth individuals | 67 | $147M | 67.9% |
| Pension and profit sharing plans | 2 | $964K | 0.45% |
| Charitable organizations | 2 | $485K | 0.22% |
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
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
- • Educational seminars/workshops
Custody
Reported custodians
- Fidelity Distributors Company Llc $198M (91% of AUM) Mar 2025
- TD Ameritrade $162M (97% of AUM) Feb 2019
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 10, 2025.