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Wealth Manager · Small ($100M–$1B)
CRD 173771
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ADV data as of Feb 27, 2025
- Regulatory AUM
- $783M
- Discretionary
- $783M
- Clients
- 547
- Avg AUM / client
- $1.4M
- Accounts
- 1,576
- Employees
- 19
AUM over time
$0
$783M
Nov 7, 2014
Feb 27, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Feb 27, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 305 | $100M | 12.8% |
| High net worth individuals | 242 | $666M | 85.0% |
| Pension and profit sharing plans | Fewer than 5 | $8.7M | 1.11% |
| Charitable organizations | Fewer than 5 | $4.3M | 0.55% |
| Corporations and other businesses | Fewer than 5 | $4.0M | 0.52% |
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
- • Commissions
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Selection of other advisers
- • Publication of periodicals or newsletters
Custody
Reported custodians
- Wells Fargo $770M (98% of AUM) Feb 2025
- Fidelity Brokerage Services $142M (20% of AUM) Nov 2021
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 27, 2025.