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Wealth Manager · Mid-sized ($1B–$10B)
CRD 129451
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ADV data as of Sep 26, 2025
- Regulatory AUM
- $1.0B
- Discretionary
- $464M
- Clients
- 452
- Avg AUM / client
- $2.3M
- Accounts
- 1,559
- Employees
- 11
AUM over time
$328M
$1.0B
Feb 15, 2012
Sep 26, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Sep 26, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 222 | $82.0M | 7.97% |
| High net worth individuals | 220 | $901M | 87.6% |
| Pension and profit sharing plans | 5 | $22.3M | 2.16% |
| Charitable organizations | 2 | $11.3M | 1.1% |
| Corporations and other businesses | 3 | $11.7M | 1.14% |
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
Custody
Reported custodians
- Charles Schwab & Co. $961M (93% of AUM) Sep 2025
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having 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: Sep 26, 2025.