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Wealth Manager · Small ($100M–$1B)
CRD 171672
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ADV data as of Aug 20, 2025
- Regulatory AUM
- $302M
- Discretionary
- $297M
- Clients
- 318
- Avg AUM / client
- $950K
- Accounts
- 704
- Employees
- 5
AUM over time
$0
$302M
Jun 13, 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) | 163 | $39.6M | 13.1% |
| High net worth individuals | 149 | $239M | 79.1% |
| Pension and profit sharing plans | 5 | $6.3M | 2.1% |
| Charitable organizations | 1 | $17.2M | 5.68% |
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Educational seminars/workshops
Custody
Reported custodians
- LPL Financial $233M (77% 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.