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Mutual Fund / Asset Manager · Boutique (under $100M)
CRD 166133
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ADV data as of Mar 31, 2025
- Regulatory AUM
- $42.2M
- Discretionary
- $42.2M
- Clients
- 58
- Avg AUM / client
- $728K
- Accounts
- 72
- Employees
- 6
AUM over time
$0
$125M
Nov 2012
Dec 2024
Annual snapshots from Form ADV filings · as of Mar 31, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 57 | $19.6M | 46.4% |
| Investment companies | 1 | $22.6M | 53.6% |
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
- Robert W. Baird & Co. Incorporated $41.6M (42% of AUM) Feb 2022
- Charles Schwab & Co. $15.5M (37% of AUM) Mar 2025
- Morgan Stanley $2.9M (7% of AUM) Mar 2023
- Wells Fargo $2.2M (5% 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 31, 2025.