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Wealth Manager · Small ($100M–$1B)
CRD 139775
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ADV data as of Mar 31, 2026
- Regulatory AUM
- $248M
- Discretionary
- $0
- Clients
- 93
- Avg AUM / client
- $2.7M
- Accounts
- 396
- Employees
- 2
AUM over time
$101M
$248M
Dec 18, 2019
Mar 31, 2026
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 31, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 22 | $12.6M | 5.07% |
| High net worth individuals | 69 | $234M | 94.6% |
| Charitable organizations | 1 | $812K | 0.33% |
| Corporations and other businesses | 1 | $93.1K | 0.04% |
Disciplinary disclosures
This firm answered "yes" to a disciplinary item on its latest filing. Detailed disclosure pages for this filing have not been imported yet — see the source filing below.
How they charge
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Educational seminars/workshops
Custody
Reported custodians
- National Financial Services (Fidelity) $216M (87% of AUM) Mar 2026
- Fidelity Brokerage Services $130M (83% of AUM) Nov 2023
- Charles Schwab & Co. $31.5M (13% of AUM) Mar 2026
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: Mar 31, 2026.