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Wealth Manager · Small ($100M–$1B)
CRD 143654
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ADV data as of May 28, 2025
- Regulatory AUM
- $155M
- Discretionary
- $121M
- Clients
- 115
- Avg AUM / client
- $1.4M
- Accounts
- 292
- Employees
- 3
AUM over time
$74.0M
$155M
Nov 21, 2011
May 28, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of May 28, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 72 | $17.2M | 11.1% |
| High net worth individuals | 30 | $116M | 74.5% |
| Pension and profit sharing plans | 8 | $17.7M | 11.4% |
| Charitable organizations | 5 | $4.7M | 3.04% |
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
Custody
Reported custodians
- Charles Schwab & Co. $135M (87% of AUM) May 2025
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: May 28, 2025.