N
N
Wealth Manager · Small ($100M–$1B)
CRD 150200
·
☆ Save with Pro
ADV data as of Apr 03, 2025
- Regulatory AUM
- $294M
- Discretionary
- $294M
- Clients
- 194
- Avg AUM / client
- $1.5M
- Accounts
- 194
- Employees
- 4
AUM over time
$173M
$336M
Mar 29, 2012
Apr 3, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Apr 03, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 96 | $209M | 71.0% |
| High net worth individuals | 85 | $68.7M | 23.4% |
| Pension and profit sharing plans | 4 | $13.9M | 4.73% |
| Charitable organizations | 2 | $35.3K | 0.01% |
| Corporations and other businesses | 7 | $2.7M | 0.9% |
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 businesses/institutional clients
Custody
Reported custodians
- Charles Schwab & Co. $315M (107% of AUM) Apr 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: Apr 03, 2025.