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Institutional / Pension Advisor · Small ($100M–$1B)
CRD 167729
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ADV data as of Jan 21, 2025
- Regulatory AUM
- $149M
- Discretionary
- $3.4M
- Clients
- 14
- Avg AUM / client
- $10.7M
- Accounts
- 17
- Employees
- 1
AUM over time
$123M
$225M
Dec 2016
Dec 2024
Annual snapshots from Form ADV filings · as of Jan 21, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 3 | $583K | 0.39% |
| High net worth individuals | 1 | $2.8M | 1.91% |
| Pension and profit sharing plans | 10 | $146M | 97.7% |
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
Custody
Reported custodians
- State Street $135M (60% of AUM) Feb 2022
- Great West Trust Company, Llc $69.8M (47% of AUM) Jan 2025
- Principal Trust Company $47.3M (32% of AUM) Jan 2025
- Fidelity Brokerage Services $19.8M (13% of AUM) Jan 2025
- Mid Atlantic Trust Company $2.6M (2% of AUM) Mar 2018
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 21, 2025.