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Wealth Manager · Small ($100M–$1B)
CRD 151794
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ADV data as of Mar 27, 2025
- Regulatory AUM
- $264M
- Discretionary
- $264M
- Clients
- 111
- Avg AUM / client
- $2.4M
- Accounts
- 303
- Employees
- 4
AUM over time
$66.6M
$264M
Dec 2014
Dec 2024
Annual snapshots from Form ADV filings · as of Mar 27, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 43 | $16.0M | 6.07% |
| High net worth individuals | 55 | $170M | 64.5% |
| Pension and profit sharing plans | Fewer than 5 | $8.6M | 3.26% |
| Corporations and other businesses | 13 | $69.1M | 26.2% |
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Charles Schwab & Co. $182M (69% of AUM) Mar 2025
- Ascensus Trust Company $52.1M (20% of AUM) Mar 2025
- Newport Group Securities, Inc. $24.7M (11% of AUM) Mar 2024
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 27, 2025.