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Wealth Manager · Small ($100M–$1B)
CRD 143816
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ADV data as of Mar 27, 2026
- Regulatory AUM
- $295M
- Discretionary
- $295M
- Clients
- 927
- Avg AUM / client
- $318K
- Accounts
- 1,628
- Employees
- 9
AUM over time
$127M
$295M
Jun 2018
Dec 2025
Annual snapshots from Form ADV filings · as of Mar 27, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 692 | $72.3M | 24.5% |
| High net worth individuals | 225 | $199M | 67.5% |
| Pension and profit sharing plans | 10 | $23.6M | 7.98% |
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
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
Custody
Reported custodians
- Charles Schwab & Co. $265M (90% of AUM) Mar 2026
- Broadridge Business Process Outsourcing, Llc $27.1M (11% of AUM) Nov 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 27, 2026.