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Wealth Manager · Small ($100M–$1B)
CRD 169045
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ADV data as of May 15, 2025
- Regulatory AUM
- $277M
- Discretionary
- $277M
- Clients
- 1,110
- Avg AUM / client
- $250K
- Accounts
- 1,804
- Employees
- 25
AUM over time
$0
$2.1B
Sep 6, 2013
May 15, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of May 15, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 749 | $102M | 36.9% |
| High net worth individuals | 349 | $174M | 62.6% |
| Pension and profit sharing plans | 7 | $148K | 0.05% |
| Corporations and other businesses | 5 | $1.1M | 0.4% |
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
- • Other fees
- • PORTION OF THIRD PARTY MANAGER FEES
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
- • Publication of periodicals or newsletters
- • Educational seminars/workshops
Custody
Reported custodians
- LPL Financial $277M (100% of AUM) May 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: May 15, 2025.