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Wealth Manager · Small ($100M–$1B)
CRD 132634
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ADV data as of Mar 05, 2025
- Regulatory AUM
- $936M
- Discretionary
- $936M
- Clients
- 143
- Avg AUM / client
- $6.5M
- Accounts
- 259
- Employees
- 6
AUM over time
$179M
$936M
Mar 6, 2012
Mar 5, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 05, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 13 | $10.8M | 1.16% |
| High net worth individuals | 115 | $664M | 70.9% |
| Banking or thrift institutions | 10 | $206M | 22.0% |
| Pension and profit sharing plans | Fewer than 5 | $931K | 0.1% |
| Charitable organizations | Fewer than 5 | $28.0M | 2.99% |
| Corporations and other businesses | 5 | $26.6M | 2.84% |
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
- • Selection of other advisers
Custody
Reported custodians
- Pershing $372M (40% of AUM) Mar 2025
- Raymond James $300M (32% of AUM) Mar 2025
- Pinnacle Bank $264M (28% 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.