AUMdb
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Wealth Manager · Mid-sized ($1B–$10B) CRD 282448 ·
☆ Save with Pro ADV data as of Mar 27, 2025
Regulatory AUM
$1.4B
Discretionary
$1.3B
Clients
2,362
Avg AUM / client
$588K
Accounts
4,390
Employees
77

AUM over time

$0 $1.4B
Jan 6, 2016 Mar 27, 2025

Reported AUM from Form ADV filings, plotted by filing date · as of Mar 27, 2025

Who they serve

Client typeClientsAUM% of AUM
Individuals (non-high net worth) 1,957 $596M 42.9%
High net worth individuals 336 $732M 52.7%
Pension and profit sharing plans 28 $11.9M 0.86%
Charitable organizations 7 $20.5M 1.48%
Corporations and other businesses 34 $28.5M 2.05%

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
  • Hourly charges
  • Fixed fees
  • Commissions

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

  • RBC $1.4B (99% 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 27, 2025.