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Mutual Fund / Asset Manager · Small ($100M–$1B)
CRD 155210
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ADV data as of Mar 27, 2025
- Regulatory AUM
- $505M
- Discretionary
- $499M
- Clients
- 98
- Avg AUM / client
- $5.2M
- Accounts
- 410
- Employees
- 10
AUM over time
$122M
$538M
Feb 3, 2012
Mar 27, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 27, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| High net worth individuals | 89 | $187M | 37.0% |
| Investment companies | 8 | $313M | 61.9% |
| Pension and profit sharing plans | 1 | $5.7M | 1.13% |
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
- • Performance-based fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
- • Other services
Custody
Reported custodians
- National Financial Services (Fidelity) $185M (37% of AUM) Mar 2025
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 27, 2025.