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Wealth Manager · Small ($100M–$1B)
CRD 171891
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ADV data as of Mar 18, 2025
- Regulatory AUM
- $236M
- Discretionary
- $236M
- Clients
- 370
- Avg AUM / client
- $638K
- Accounts
- 834
- Employees
- 3
AUM over time
$0
$236M
Aug 14, 2014
Mar 18, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 18, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 280 | $66.9M | 28.3% |
| High net worth individuals | 80 | $136M | 57.6% |
| Pension and profit sharing plans | 7 | $27.8M | 11.8% |
| Charitable organizations | 2 | $5.4M | 2.27% |
| Corporations and other businesses | 1 | $164 | 0.0% |
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
Custody
Reported custodians
- Charles Schwab & Co. $232M (98% of AUM) Mar 2025
- Fidelity Brokerage Services $17.5M (11% of AUM) Mar 2019
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 18, 2025.