Naples Asset Management Co., Llc
- Regulatory AUM
- $404M
- Discretionary
- $386M
- Clients
- 584
- Avg AUM / client
- $692K
- Accounts
- 584
- Employees
- 11
AUM over time
Annual snapshots from Form ADV filings · as of Jun 03, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 488 | $105M | 26.0% |
| High net worth individuals | 51 | $24.3M | 6.02% |
| Pension and profit sharing plans | 44 | $236M | 58.4% |
| Charitable organizations | 1 | $38.8M | 9.59% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Stock Development Associates, Inc. 401(k) Profit Sharing Plan Stock Development Associates, Inc. | 2024 | |
| Ascensus Secure Retirement Pooled Employer Plan Newport Group, Inc. | 2024 | |
| Quail Creek Country Club, Inc. 401(k) Profit Sharing Plan & Trust Quail Creek Country Club, Inc. | 2024 | |
| 403(b) Plan For Redlands Christian Migrant Association, Inc. Redlands Christian Migrant Association, Inc. | 2024 | |
| Sunshine Ace Hardware, Inc. 401(k) Profit Sharing Plan And Trust Sunshine Ace Hardware, Inc. | 2024 |
People (11)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Paul Joseph Mcintyre | Member & Chief Compliance Officer | Dec 2004 (22y) | 25% – 50% | |
| Bryan Evan Smith | President | CFP | Jan 2008 (19y) | Less than 5% |
| Susan Robin Riser Whitlock | Member & Chairperson | Apr 2017 (9y) | 50% – 75% | |
| Adam Vernon Waszkowski | Registered representative | CFA | Feb 2013 (13y) | |
| Doak Rauh Belt | Registered representative | Apr 2021 (5y) | ||
| Michael Paul Fusco | Registered representative | Jun 2021 (5y) | ||
| Kevin Edward Sullivan | Registered representative | Jul 2022 (4y) | ||
| Michael Cornell | Registered representative | Nov 2022 (4y) | ||
| Christopher William Habedank | Registered representative | Apr 2024 (2y) | ||
| Tyler B Ashley | Registered representative | Apr 2025 (1y) | ||
| Chip Detty | Registered representative | Jul 2025 (1y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (5)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Stock Development Associates, Inc. 401(k) Profit Sharing Plan | Stock Development Associates, Inc. | 599 | $27.3M | 01/01/2024 |
| Ascensus Secure Retirement Pooled Employer Plan | Newport Group, Inc. | 11,059 | $206M | 01/01/2024 |
| Quail Creek Country Club, Inc. 401(k) Profit Sharing Plan & Trust | Quail Creek Country Club, Inc. | 103 | $3.8M | 01/01/2024 |
| 403(b) Plan For Redlands Christian Migrant Association, Inc. | Redlands Christian Migrant Association, Inc. | 1,524 | $32.4M | 01/01/2024 |
| Sunshine Ace Hardware, Inc. 401(k) Profit Sharing Plan And Trust | Sunshine Ace Hardware, Inc. | 511 | $19.4M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 06/03/2026 | 1.08 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
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
- • Other fees
- • CONSULTING SERVICES
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Selection of other advisers
- • Educational seminars/workshops
- • Other services
Custody
Reported custodians
- Fidelity Brokerage Services $115M (43% of AUM) Nov 2021
- Ascensus Trust Company $114M (28% of AUM) Jun 2026
- LPL Financial $104M (26% of AUM) Jun 2026
- Empower Financial Services, Inc. $64.0M (16% of AUM) Jun 2026
- Pershing $50.4M (18% of AUM) Dec 2024
- Altruist Financial $50.4M (16% of AUM) Feb 2026
- Great West Trust Company, Llc $49.8M (18% of AUM) Dec 2024
- Reliance Trust Company $32.2M (14% of AUM) Feb 2023
- Axos Clearing $15.9M (7% of AUM) Feb 2023
- Interactive Brokers $13.7M (6% of AUM) Feb 2023
- Charles Schwab & Co. $5.0M (2% of AUM) Nov 2021
- Sei Investments / Sei Financial Services Co $2.4M (1% of AUM) Feb 2023
- Sei Investmentmanagement Corporation $1.2M (1% of AUM) Feb 2023
- Assetmark Brokerage, Llc $546K (0% of AUM) Feb 2023
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: Jun 03, 2026.
View current Form ADV (SEC/IAPD) ↗