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Wealth Manager · Boutique (under $100M)
CRD 169635
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ADV data as of Mar 21, 2025
- Regulatory AUM
- $97.1M
- Discretionary
- $97.1M
- Clients
- 407
- Avg AUM / client
- $239K
- Accounts
- 466
- Employees
- 5
AUM over time
$53.7M
$124M
Nov 18, 2013
Mar 21, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 21, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 383 | $66.0M | 68.0% |
| High net worth individuals | 13 | $29.6M | 30.4% |
| Pension and profit sharing plans | 11 | $1.6M | 1.61% |
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Subscription fees
- • Fixed fees
- • Other fees
- • SOLICITOR FEES
Services
- • Financial planning services
- • Selection of other advisers
- • Educational seminars/workshops
Custody
Reported custodians
- Fidelity Brokerage Services $42.2M (43% of AUM) Mar 2025
- Sei Investments Distribution Co. $22.0M (23% of AUM) Mar 2025
- Pershing $14.1M (15% of AUM) Mar 2025
- Interactive Brokers $14.0M (14% 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 21, 2025.