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Wealth Manager · Small ($100M–$1B)
CRD 154078
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ADV data as of Mar 11, 2025
- Regulatory AUM
- $931M
- Discretionary
- $930M
- Clients
- 193
- Avg AUM / client
- $4.8M
- Accounts
- 295
- Employees
- 4
AUM over time
$121M
$1.1B
Feb 27, 2014
Mar 11, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 11, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 3 | $1.4M | 0.15% |
| High net worth individuals | 181 | $790M | 84.8% |
| Investment companies | 1 | $19.2M | 2.06% |
| Corporations and other businesses | 8 | $121M | 13.0% |
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 investment companies
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Charles Schwab & Co. $524M (56% of AUM) Mar 2025
- Fidelity Brokerage Services $245M (26% of AUM) Mar 2025
- Pershing $102M (17% of AUM) Mar 2024
- Morgan Stanley $92.8M (14% of AUM) Feb 2021
- Jefferies Llc $64.1M (13% of AUM) Mar 2023
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: Mar 11, 2025.