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Wealth Manager · Small ($100M–$1B)
CRD 143442
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ADV data as of Mar 07, 2025
- Regulatory AUM
- $720M
- Discretionary
- $720M
- Clients
- 594
- Avg AUM / client
- $1.2M
- Accounts
- 2,150
- Employees
- 11
AUM over time
$93.3M
$720M
Feb 9, 2012
Mar 7, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 07, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 395 | $161M | 22.4% |
| High net worth individuals | 199 | $559M | 77.6% |
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Educational seminars/workshops
Custody
Reported custodians
- Charles Schwab & Co. $707M (98% 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 07, 2025.