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Wealth Manager · Small ($100M–$1B)
CRD 129898
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ADV data as of Jul 17, 2025
- Regulatory AUM
- $438M
- Discretionary
- $389M
- Clients
- 421
- Avg AUM / client
- $1.0M
- Accounts
- 1,113
- Employees
- 7
AUM over time
$99.0M
$438M
Mar 29, 2012
Jul 17, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Jul 17, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 299 | $80.5M | 18.4% |
| High net worth individuals | 79 | $287M | 65.5% |
| Pooled investment vehicles (non-investment companies) | 1 | $8.1M | 1.84% |
| Pension and profit sharing plans | 18 | $21.6M | 4.95% |
| Corporations and other businesses | 24 | $40.8M | 9.32% |
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
- • Performance-based fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
Custody
Reported custodians
- Raymond James $329M (75% of AUM) Jul 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: Jul 17, 2025.