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Wealth Manager · Mid-sized ($1B–$10B)
CRD 283403
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ADV data as of Mar 25, 2025
- Regulatory AUM
- $3.4B
- Discretionary
- $3.0B
- Clients
- 1,807
- Avg AUM / client
- $1.9M
- Accounts
- 1,810
- Employees
- 31
AUM over time
$615M
$3.4B
Apr 2016
Dec 2024
Annual snapshots from Form ADV filings · as of Mar 25, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 1,312 | $504M | 14.9% |
| High net worth individuals | 421 | $1.9B | 57.6% |
| Pension and profit sharing plans | 26 | $641M | 19.0% |
| Charitable organizations | Fewer than 5 | $41.1K | 0.0% |
| Corporations and other businesses | 44 | $82.6M | 2.45% |
| Other | 4 | $202M | 5.99% |
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
- • ASSETS ON 3RD PARTY PLATFORMS. SEE 5.D
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $2.6B (76% of AUM) Mar 2025
- U.S. Bank $397M (12% of AUM) Mar 2025
- E*TRADE (Morgan Stanley) $168M (12% of AUM) Aug 2021
- National Financial Services (Fidelity) $141M (12% of AUM) Dec 2019
- Pershing $118M (10% of AUM) Jun 2020
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 25, 2025.