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Wealth Manager · Small ($100M–$1B)
CRD 147837
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ADV data as of Mar 12, 2025
- Regulatory AUM
- $221M
- Discretionary
- $221M
- Clients
- 133
- Avg AUM / client
- $1.7M
- Accounts
- 367
- Employees
- 2
AUM over time
$113M
$221M
Mar 12, 2012
Mar 12, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 12, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 63 | $188M | 84.9% |
| High net worth individuals | 70 | $33.3M | 15.1% |
Disciplinary disclosures
This firm answered "yes" to a disciplinary item on its latest filing. Detailed disclosure pages for this filing have not been imported yet — see the source filing below.
How they charge
- • Percentage of assets under management
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- Fidelity Brokerage Services $190M (86% of AUM) Mar 2025
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have 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 12, 2025.