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Wealth Manager · Small ($100M–$1B)
CRD 137724
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ADV data as of Mar 26, 2025
- Regulatory AUM
- $267M
- Discretionary
- $267M
- Clients
- 204
- Avg AUM / client
- $1.3M
- Accounts
- 571
- Employees
- 6
AUM over time
$81.4M
$267M
Oct 15, 2015
Mar 26, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 26, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 108 | $38.2M | 14.3% |
| High net worth individuals | 90 | $217M | 81.4% |
| Pension and profit sharing plans | 2 | $6.7M | 2.51% |
| Corporations and other businesses | 4 | $4.7M | 1.76% |
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Educational seminars/workshops
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $267M (100% of AUM) Mar 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: Mar 26, 2025.