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Wealth Manager · Small ($100M–$1B)
CRD 128583
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ADV data as of Aug 01, 2025
- Regulatory AUM
- $159M
- Discretionary
- $156M
- Clients
- 589
- Avg AUM / client
- $270K
- Accounts
- 1,625
- Employees
- 4
AUM over time
$109M
$159M
Aug 2022
Aug 2025
Annual snapshots from Form ADV filings · as of Aug 01, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 564 | $133M | 83.6% |
| High net worth individuals | 23 | $25.8M | 16.2% |
| Corporations and other businesses | 2 | $279K | 0.18% |
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
- Charles Schwab & Co. $157M (99% of AUM) Aug 2025
- Nationwide Securities, Llc $1.4M (1% of AUM) Mar 2024
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: Aug 01, 2025.