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Mutual Fund / Asset Manager · Small ($100M–$1B)
CRD 168805
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ADV data as of Mar 27, 2025
- Regulatory AUM
- $327M
- Discretionary
- $327M
- Clients
- 11
- Avg AUM / client
- $29.8M
- Accounts
- 5
- Employees
- 6
AUM over time
$79.5M
$1.1B
Sep 12, 2014
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 | 5 | $0 | — |
| Investment companies | 2 | $171M | 52.1% |
| Pooled investment vehicles (non-investment companies) | 1 | $2.1M | 0.63% |
| State or municipal government entities | 1 | $140M | 42.8% |
| Insurance companies | 1 | $14.7M | 4.48% |
| Corporations and other businesses | 1 | $0 | — |
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
- • Performance-based fees
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for investment companies
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
- • Other services
Custody
Reported custodians
- BNY Mellon $140M (43% of AUM) Mar 2025
- Fifth Third Bank $8.7M (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: Mar 27, 2025.