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Wealth Manager · Mid-sized ($1B–$10B)
CRD 27913
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ADV data as of Apr 08, 2025
- Regulatory AUM
- $2.1B
- Discretionary
- $849M
- Clients
- 3,641
- Avg AUM / client
- $574K
- Accounts
- 5,799
- Employees
- 85
AUM over time
$279M
$2.1B
Dec 21, 2011
Apr 8, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Apr 08, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 3,084 | $757M | 36.2% |
| High net worth individuals | 489 | $1.2B | 56.1% |
| Pension and profit sharing plans | 35 | $128M | 6.1% |
| Charitable organizations | 1 | $152K | 0.01% |
| Insurance companies | 1 | $2.9K | 0.0% |
| Corporations and other businesses | 31 | $32.3M | 1.55% |
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
- • Other fees
- • FLAT COMMISSION/EXECUTION FEE
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
Custody
Reported custodians
- RBC $263M (13% of AUM) Apr 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: Apr 08, 2025.