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Investment Adviser · Boutique (under $100M)
CRD 146224
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ADV data as of Mar 31, 2025
- Regulatory AUM
- $80.4M
- Discretionary
- $80.4M
- Clients
- 23
- Avg AUM / client
- $3.5M
- Accounts
- 1,253
- Employees
- 5
AUM over time
$45.0M
$290M
Dec 2011
Dec 2024
Annual snapshots from Form ADV filings · as of Mar 31, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 10 | $1.3M | 1.66% |
| High net worth individuals | 10 | $8.3M | 10.3% |
| Investment companies | 1 | $21.2M | 26.4% |
| Other investment advisers | 2 | $49.6M | 61.6% |
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 investment companies
Custody
Reported custodians
- E*TRADE (Morgan Stanley) $58.1M (49% of AUM) Mar 2021
- Axos Clearing $47.7M (59% of AUM) Mar 2025
- Trust Company Of America $42.6M (36% of AUM) Mar 2018
- Raymond James $24.6M (21% of AUM) Mar 2021
- Pershing $13.6M (11% of AUM) Mar 2018
- Charles Schwab & Co. $10.5M (13% 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 31, 2025.