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Wealth Manager · Small ($100M–$1B)
CRD 154934
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ADV data as of Jan 20, 2025
- Regulatory AUM
- $209M
- Discretionary
- $162M
- Clients
- 165
- Avg AUM / client
- $1.3M
- Accounts
- 335
- Employees
- 2
AUM over time
$30.5M
$209M
Jan 25, 2012
Jan 20, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Jan 20, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 27 | $14.0M | 6.7% |
| High net worth individuals | 75 | $148M | 70.7% |
| Pension and profit sharing plans | 4 | $40.7M | 19.4% |
| Other | 59 | $6.6M | 3.15% |
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
- • Pension consulting services
- • Selection of other advisers
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $84.7M (40% of AUM) Jan 2025
- John Hancock Life Insurance Company $15.4M (10% of AUM) Feb 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: Jan 20, 2025.