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Wealth Manager · Small ($100M–$1B)
CRD 147165
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ADV data as of Apr 01, 2025
- Regulatory AUM
- $830M
- Discretionary
- $802M
- Clients
- 461
- Avg AUM / client
- $1.8M
- Accounts
- 993
- Employees
- 9
AUM over time
$90.2M
$830M
Mar 16, 2012
Apr 1, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Apr 01, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 250 | $97.0M | 11.7% |
| High net worth individuals | 175 | $520M | 62.6% |
| Banking or thrift institutions | Fewer than 5 | — | — |
| Investment companies | 1 | $64.2M | 7.74% |
| Pension and profit sharing plans | 35 | $149M | 17.9% |
| Charitable organizations | Fewer than 5 | — | — |
| State or municipal government entities | Fewer than 5 | — | — |
| Other investment advisers | Fewer than 5 | — | — |
| Insurance companies | Fewer than 5 | — | — |
| Sovereign wealth funds and foreign official institutions | Fewer than 5 | — | — |
| Corporations and other businesses | Fewer than 5 | — | — |
| Other | Fewer than 5 | — | — |
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 investment companies
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
- • Other services
Custody
Firm reports having custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Apr 01, 2025.