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Wealth Manager · Small ($100M–$1B)
CRD 140262
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ADV data as of May 10, 2025
- Regulatory AUM
- $838M
- Discretionary
- $523M
- Clients
- 145
- Avg AUM / client
- $5.8M
- Accounts
- 359
- Employees
- 9
AUM over time
$262M
$879M
Mar 28, 2012
May 10, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of May 10, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 15 | $7.4M | 0.88% |
| High net worth individuals | 90 | $737M | 88.0% |
| Pooled investment vehicles (non-investment companies) | 2 | $2.1M | 0.25% |
| Pension and profit sharing plans | Fewer than 5 | $1.0M | 0.12% |
| Charitable organizations | 23 | $10.8M | 1.28% |
| Corporations and other businesses | 15 | $79.3M | 9.47% |
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
- • Performance-based fees
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for pooled investment vehicles
- • Selection of other advisers
- • Educational seminars/workshops
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $457M (55% of AUM) May 2025
- Fidelity Brokerage Services $149M (18% of AUM) May 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: May 10, 2025.