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Wealth Manager · Boutique (under $100M)
CRD 126165
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ADV data as of Mar 05, 2025
- Regulatory AUM
- $59.9M
- Discretionary
- $59.9M
- Clients
- 68
- Avg AUM / client
- $881K
- Accounts
- 240
- Employees
- 2
AUM over time
$43.7M
$77.5M
Dec 2011
Dec 2024
Annual snapshots from Form ADV filings · as of Mar 05, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 53 | $9.7M | 16.2% |
| High net worth individuals | 15 | $45.8M | 76.5% |
| Pension and profit sharing plans | Fewer than 5 | $4.4M | 7.32% |
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
- • Commissions
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Other services
Custody
Reported custodians
- Royal Alliance Associates, Inc. $48.4M (81% of AUM) Jan 2023
- Pershing $44.5M (74% of AUM) Mar 2025
- Pruco Life Insurance Company $7.3M (12% of AUM) Mar 2025
- Allianz Life Insurance Company $6.9M (11% of AUM) Mar 2025
- Jackson $940K (2% of AUM) Mar 2025
- Lincoln Financial Advisors Corporation $328K (0% of AUM) Mar 2021
- Aig $142K (0% of AUM) Mar 2025
- Aig Capital Services, Inc. $115K (0% of AUM) Aug 2023
- Brighthouse Securities, Llc $54.7K (0% of AUM) Mar 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: Mar 05, 2025.