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Mutual Fund / Asset Manager · Small ($100M–$1B)
CRD 171402
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ADV data as of Aug 20, 2025
- Regulatory AUM
- $230M
- Discretionary
- $230M
- Clients
- 9
- Avg AUM / client
- $25.5M
- Accounts
- 3
- Employees
- 4
AUM over time
$0
$473M
Nov 12, 2014
Aug 20, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Aug 20, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 7 | $1.4M | 0.59% |
| Investment companies | 2 | $228M | 99.4% |
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
- Charles Schwab & Co. $2.2M (1% of AUM) Aug 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: Aug 20, 2025.