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Wealth Manager · Small ($100M–$1B)
CRD 132828
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ADV data as of Feb 01, 2026
- Regulatory AUM
- $334M
- Discretionary
- $334M
- Clients
- 37
- Avg AUM / client
- $9.0M
- Accounts
- 37
- Employees
- 1
AUM over time
$49.3M
$334M
Dec 16, 2011
Feb 1, 2026
Reported AUM from Form ADV filings, plotted by filing date · as of Feb 01, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 9 | $2.1M | 0.63% |
| High net worth individuals | 28 | $332M | 99.4% |
| Banking or thrift institutions | 0 | — | — |
| Pension and profit sharing plans | Fewer than 5 | — | — |
| Charitable organizations | Fewer than 5 | — | — |
| State or municipal government entities | Fewer than 5 | — | — |
| Other investment advisers | Fewer than 5 | — | — |
| Insurance companies | Fewer than 5 | — | — |
| Sovereign wealth funds and foreign official institutions | Fewer than 5 | — | — |
| Corporations and other businesses | Fewer than 5 | — | — |
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
Custody
Reported custodians
- Charles Schwab & Co. $334M (100% of AUM) Feb 2026
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: Feb 01, 2026.