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Wealth Manager · Mid-sized ($1B–$10B)
CRD 169114
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ADV data as of Apr 14, 2025
- Regulatory AUM
- $3.9B
- Discretionary
- $3.6B
- Clients
- 908
- Avg AUM / client
- $4.3M
- Accounts
- 3,076
- Employees
- 30
AUM over time
$0
$3.9B
Sep 2013
Dec 2024
Annual snapshots from Form ADV filings · as of Apr 14, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 273 | $111M | 2.81% |
| High net worth individuals | 472 | $3.0B | 77.1% |
| Charitable organizations | 34 | $43.6M | 1.11% |
| Corporations and other businesses | 129 | $750M | 19.0% |
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
Custody
Reported custodians
- Pershing $2.2B (55% of AUM) Apr 2025
- National Financial Services (Fidelity) $926M (23% of AUM) Apr 2025
- Charles Schwab & Co. $438M (11% of AUM) Apr 2025
- BNY Mellon $53.6M (6% of AUM) May 2019
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: Apr 14, 2025.