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Mutual Fund / Asset Manager · Small ($100M–$1B)
CRD 139671
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ADV data as of Oct 23, 2025
- Regulatory AUM
- $843M
- Discretionary
- $842M
- Clients
- 247
- Avg AUM / client
- $3.4M
- Accounts
- 587
- Employees
- 10
AUM over time
$150M
$861M
Mar 6, 2012
Oct 23, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Oct 23, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 196 | $41.1M | 4.88% |
| High net worth individuals | 48 | $120M | 14.3% |
| Investment companies | 3 | $681M | 80.8% |
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
- • Commissions
- • Other fees
- • THIRD PARTY ADVISORY FEES
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for investment companies
- • Pension consulting services
- • Selection of other advisers
Custody
Reported custodians
- Raymond James $179M (21% of AUM) Oct 2025
- Charles Schwab & Co. $39.4M (5% of AUM) Oct 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: Oct 23, 2025.