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Wealth Manager · Boutique (under $100M)
CRD 138121
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ADV data as of Sep 03, 2025
- Regulatory AUM
- $82.9M
- Discretionary
- $81.6M
- Clients
- 141
- Avg AUM / client
- $588K
- Accounts
- 315
- Employees
- 3
AUM over time
$25.3M
$82.9M
Dec 17, 2011
Sep 3, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Sep 03, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 111 | $22.0M | 26.5% |
| High net worth individuals | 29 | $58.8M | 70.9% |
| Pension and profit sharing plans | 1 | $1.3M | 1.6% |
| Charitable organizations | Fewer than 5 | $501K | 0.6% |
| Corporations and other businesses | Fewer than 5 | $324K | 0.39% |
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
Custody
Reported custodians
- Charles Schwab & Co. $81.6M (98% of AUM) Sep 2025
- Pershing $50.7M (100% of AUM) Oct 2020
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: Sep 03, 2025.