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Wealth Manager · Small ($100M–$1B)
CRD 172556
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ADV data as of Feb 18, 2026
- Regulatory AUM
- $616M
- Discretionary
- $403M
- Clients
- 238
- Avg AUM / client
- $2.6M
- Accounts
- 573
- Employees
- 3
AUM over time
$126M
$767M
Mar 24, 2017
Feb 18, 2026
Reported AUM from Form ADV filings, plotted by filing date · as of Feb 18, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 78 | $18.8M | 3.05% |
| High net worth individuals | 110 | $380M | 61.6% |
| Pension and profit sharing plans | 48 | $218M | 35.3% |
| Corporations and other businesses | 2 | $160K | 0.03% |
Disciplinary disclosures
This firm answered "yes" to a disciplinary item on its latest filing. Detailed disclosure pages for this filing have not been imported yet — see the source filing below.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
- • Publication of periodicals or newsletters
- • Educational seminars/workshops
Custody
Reported custodians
- Charles Schwab & Co. $403M (65% of AUM) Feb 2026
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: Feb 18, 2026.