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Investment Adviser · Small ($100M–$1B)
CRD 170064
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ADV data as of Mar 24, 2025
- Regulatory AUM
- $995M
- Discretionary
- $995M
- Clients
- 5
- Avg AUM / client
- $199M
- Accounts
- 11
- Employees
- 4
AUM over time
$995M
$29.0B
Jun 2, 2014
Mar 24, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 24, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| High net worth individuals | Fewer than 5 | $1.1M | 0.12% |
| Investment companies | 2 | $380M | 38.1% |
| Pooled investment vehicles (non-investment companies) | 3 | $52.7M | 5.29% |
| Pension and profit sharing plans | Fewer than 5 | $189M | 19.0% |
| Charitable organizations | Fewer than 5 | $22.0M | 2.21% |
| State or municipal government entities | Fewer than 5 | $350M | 35.2% |
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • 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
Custody
Reported custodians
- J.P. Morgan $3.3B (27% of AUM) Mar 2022
- BNY Mellon $405M (41% of AUM) Mar 2025
- Fidelity Management Trust Company $214M (6% of AUM) Apr 2023
- State Street $180M (6% of AUM) Aug 2024
- Northern Trust $158M (16% of AUM) Mar 2025
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having 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 24, 2025.