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Wealth Manager · Small ($100M–$1B)
CRD 152888
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ADV data as of Mar 30, 2025
- Regulatory AUM
- $596M
- Discretionary
- $554M
- Clients
- 225
- Avg AUM / client
- $2.6M
- Accounts
- 748
- Employees
- 14
AUM over time
$129M
$596M
Jan 14, 2013
Mar 30, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 30, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 84 | $36.0M | 6.03% |
| High net worth individuals | 125 | $515M | 86.4% |
| Pension and profit sharing plans | 8 | $10.1M | 1.69% |
| Charitable organizations | 1 | $123K | 0.02% |
| Corporations and other businesses | 7 | $34.7M | 5.82% |
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Publication of periodicals or newsletters
Custody
Reported custodians
- Charles Schwab & Co. $518M (87% of AUM) Mar 2025
- Fifth Third Securities, Inc. $38.3M (11% of AUM) Feb 2020
- Fifth Third Institutional Services $35.5M (7% of AUM) Nov 2023
- Fidelity Brokerage Services $15.6M (3% of AUM) Mar 2025
- U.S. Bank $3.7M (1% of AUM) Jun 2020
- Vanguard $129K (0% of AUM) Jun 2020
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 30, 2025.