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Wealth Manager · Small ($100M–$1B)
CRD 226643
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ADV data as of Mar 24, 2025
- Regulatory AUM
- $140M
- Discretionary
- $140M
- Clients
- 136
- Avg AUM / client
- $1.0M
- Accounts
- 512
- Employees
- 2
AUM over time
$100M
$140M
Apr 13, 2023
Mar 24, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 24, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 89 | $37.9M | 27.0% |
| High net worth individuals | 45 | $98.9M | 70.5% |
| Charitable organizations | 1 | $3.3M | 2.33% |
| Corporations and other businesses | 1 | $157K | 0.11% |
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
- • Other fees
- • EDUCATIONAL SEMINARS/WORKSHOPS & INSURANCE CONSULTING
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
- • Educational seminars/workshops
Custody
Reported custodians
- Fidelity Brokerage Services $139M (99% of AUM) Mar 2025
- Assetmark Brokerage, Llc $3.5M (2% of AUM) Mar 2025
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 24, 2025.