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Wealth Manager · Small ($100M–$1B)
CRD 150415
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ADV data as of Jul 22, 2025
- Regulatory AUM
- $131M
- Discretionary
- $131M
- Clients
- 1,230
- Avg AUM / client
- $106K
- Accounts
- 1,687
- Employees
- 3
AUM over time
$106M
$131M
Jan 19, 2021
Jul 22, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Jul 22, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 1,199 | $94.9M | 72.7% |
| High net worth individuals | 16 | $30.3M | 23.2% |
| Pension and profit sharing plans | 4 | $2.6M | 1.96% |
| Corporations and other businesses | 11 | $2.7M | 2.08% |
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
Custody
Reported custodians
- Charles Schwab & Co. $131M (100% of AUM) Jul 2025
- Nationwide Securities, Llc $5.3M (5% of AUM) Jan 2021
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: Jul 22, 2025.