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Wealth Manager · Small ($100M–$1B)
CRD 165369
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ADV data as of Jan 28, 2025
- Regulatory AUM
- $268M
- Discretionary
- $268M
- Clients
- 519
- Avg AUM / client
- $516K
- Accounts
- 1,012
- Employees
- 4
AUM over time
$0
$268M
Sep 13, 2012
Jan 28, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Jan 28, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 459 | $101M | 37.5% |
| High net worth individuals | 60 | $167M | 62.5% |
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 businesses/institutional clients
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $268M (100% of AUM) Jan 2025
- BNY Mellon $1.5M (1% of AUM) Apr 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 28, 2025.