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Wealth Manager · Small ($100M–$1B)
CRD 165164
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ADV data as of Jun 18, 2025
- Regulatory AUM
- $533M
- Discretionary
- $358M
- Clients
- 1,423
- Avg AUM / client
- $374K
- Accounts
- 1,431
- Employees
- 7
AUM over time
$104M
$533M
Nov 10, 2016
Jun 18, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Jun 18, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 1,324 | $326M | 61.2% |
| Pension and profit sharing plans | 82 | $175M | 32.9% |
| Charitable organizations | 17 | $25.3M | 4.75% |
| Insurance companies | Fewer than 5 | $6.4M | 1.2% |
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Educational seminars/workshops
Custody
Reported custodians
- Charles Schwab & Co. $245M (46% of AUM) Jun 2025
- Vanguard Marketing Corporation $109M (20% of AUM) Jun 2025
- Fidelity Brokerage Services $78.6M (15% of AUM) Jun 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: Jun 18, 2025.