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Wealth Manager · Small ($100M–$1B)
CRD 135530
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ADV data as of Sep 15, 2025
- Regulatory AUM
- $270M
- Discretionary
- $208M
- Clients
- 390
- Avg AUM / client
- $691K
- Accounts
- 505
- Employees
- 3
AUM over time
$111M
$270M
Jun 28, 2018
Sep 15, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Sep 15, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 247 | $67.3M | 25.0% |
| High net worth individuals | 44 | $94.3M | 35.0% |
| Pension and profit sharing plans | 90 | $81.5M | 30.2% |
| Charitable organizations | 9 | $26.3M | 9.74% |
| Corporations and other businesses | Fewer than 5 | $280K | 0.1% |
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
- • Pension consulting services
- • Selection of other advisers
Custody
Reported custodians
- Assetmark Brokerage, Llc $175M (65% of AUM) Jul 2025
- Assetmark Trust Company $175M (65% of AUM) Sep 2025
- Charles Schwab & Co. $40.7M (15% of AUM) Sep 2025
- Capital Bank And Trust Company $38.6M (14% of AUM) Mar 2025
- John Hancock Life Insurance Company $21.1M (12% of AUM) Sep 2022
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: Sep 15, 2025.