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Wealth Manager · Small ($100M–$1B)
CRD 284807
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ADV data as of Jan 10, 2025
- Regulatory AUM
- $517M
- Discretionary
- $496M
- Clients
- 225
- Avg AUM / client
- $2.3M
- Accounts
- 1,201
- Employees
- 8
AUM over time
$315M
$519M
Aug 11, 2016
Jan 10, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Jan 10, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 107 | $36.2M | 7.0% |
| High net worth individuals | 109 | $405M | 78.5% |
| Pension and profit sharing plans | Fewer than 5 | $3.2M | 0.62% |
| Charitable organizations | 9 | $72.0M | 13.9% |
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
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. $341M (66% of AUM) Jan 2025
- Fidelity Brokerage Services $130M (25% of AUM) Jan 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: Jan 10, 2025.