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Wealth Manager · Small ($100M–$1B)
CRD 169679
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ADV data as of Feb 10, 2025
- Regulatory AUM
- $198M
- Discretionary
- $198M
- Clients
- 447
- Avg AUM / client
- $444K
- Accounts
- 447
- Employees
- 6
AUM over time
$198M
$737M
Nov 5, 2013
Feb 10, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Feb 10, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 426 | $90.0M | 45.3% |
| High net worth individuals | 9 | $12.7M | 6.42% |
| Investment companies | 2 | $86.1M | 43.4% |
| Pension and profit sharing plans | 3 | $1.7M | 0.86% |
| Charitable organizations | 2 | $5.8M | 2.92% |
| Corporations and other businesses | 5 | $2.2M | 1.09% |
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for investment companies
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Wells Fargo $48.2M (24% of AUM) Feb 2025
- LPL Financial $43.1M (22% of AUM) Feb 2025
- Raymond James $25.7M (8% of AUM) Dec 2023
- RBC $17.4M (5% of AUM) Dec 2023
- BNY Mellon $13.9M (7% of AUM) Feb 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: Feb 10, 2025.