N
N
Private Fund Manager · Small ($100M–$1B)
CRD 152078
·
☆ Save with Pro
ADV data as of Apr 29, 2025
- Regulatory AUM
- $335M
- Discretionary
- $335M
- Clients
- 14
- Avg AUM / client
- $23.9M
- Accounts
- 15
- Employees
- 4
AUM over time
$125M
$335M
Apr 2, 2012
Apr 29, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Apr 29, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 4 | $200K | 0.06% |
| High net worth individuals | 8 | $115M | 34.3% |
| Pooled investment vehicles (non-investment companies) | 2 | $209M | 62.3% |
| Charitable organizations | Fewer than 5 | $11.3M | 3.38% |
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
- • Portfolio management for individuals/small businesses
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Wells Fargo $125M (37% of AUM) Apr 2025
- Pershing $6.9M (2% of AUM) Mar 2023
- Fiduciary Trust Company International $1.7M (1% of AUM) Mar 2023
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: Apr 29, 2025.