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Wealth Manager · Mid-sized ($1B–$10B)
CRD 144386
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ADV data as of May 01, 2025
- Regulatory AUM
- $2.0B
- Discretionary
- $1.9B
- Clients
- 1,400
- Avg AUM / client
- $1.4M
- Accounts
- 3,824
- Employees
- 16
AUM over time
$330M
$2.0B
Dec 2011
May 2025
Annual snapshots from Form ADV filings · as of May 01, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 736 | $310M | 15.4% |
| High net worth individuals | 642 | $1.7B | 83.5% |
| Pension and profit sharing plans | 11 | $8.5M | 0.42% |
| Charitable organizations | 9 | $7.1M | 0.35% |
| Corporations and other businesses | 2 | $5.9M | 0.3% |
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
- • Portfolio management for businesses/institutional clients
- • Educational seminars/workshops
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $1.2B (57% of AUM) May 2025
- Fidelity Brokerage Services $785M (39% of AUM) May 2025
- Fidelity Distributors Company Llc $501M (40% of AUM) Mar 2023
- Fidelity Investments Institutional Services Company, Inc. $300M (42% of AUM) Mar 2019
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 01, 2025.