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Investment Adviser · Mid-sized ($1B–$10B)
CRD 145250
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ADV data as of Mar 17, 2025
- Regulatory AUM
- $1.3B
- Discretionary
- $566M
- Clients
- 30
- Avg AUM / client
- $42.7M
- Accounts
- 64
- Employees
- 10
AUM over time
$355M
$1.7B
Dec 2011
Dec 2024
Annual snapshots from Form ADV filings · as of Mar 17, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | Fewer than 5 | $475K | 0.04% |
| High net worth individuals | 20 | $125M | 9.78% |
| Investment companies | 3 | $374M | 29.1% |
| Pooled investment vehicles (non-investment companies) | 1 | $98.6M | 7.69% |
| Other investment advisers | 6 | $684M | 53.3% |
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 investment companies
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
- • Other services
Custody
Reported custodians
- U.S. Bank $837M (48% of AUM) Mar 2018
- Brown Brothers Harriman Investment Services (Japan) Inc. $481M (38% of AUM) Mar 2025
- State Street $193M (11% of AUM) Nov 2019
- Oppenheimer & Co. Inc. $168M (13% of AUM) Mar 2025
- Pershing $134M (11% of AUM) Mar 2022
- Bank Of America, National Association $76.5M (6% 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 17, 2025.