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Wealth Manager · Small ($100M–$1B)
CRD 136054
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ADV data as of Dec 11, 2025
- Regulatory AUM
- $176M
- Discretionary
- $171M
- Clients
- 53
- Avg AUM / client
- $3.3M
- Accounts
- 208
- Employees
- 2
AUM over time
$56.7M
$185M
Mar 28, 2012
Dec 11, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Dec 11, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 5 | $3.1M | 1.76% |
| High net worth individuals | 48 | $171M | 97.2% |
| Pension and profit sharing plans | Fewer than 5 | $1.8M | 1.04% |
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
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $176M (100% of AUM) Dec 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: Dec 11, 2025.