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Wealth Manager · Small ($100M–$1B)
CRD 288525
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ADV data as of Mar 04, 2025
- Regulatory AUM
- $459M
- Discretionary
- $459M
- Clients
- 300
- Avg AUM / client
- $1.5M
- Accounts
- 916
- Employees
- 6
AUM over time
$0
$459M
Jul 11, 2017
Mar 4, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 04, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 177 | $71.8M | 15.6% |
| High net worth individuals | 123 | $373M | 81.3% |
| Charitable organizations | Fewer than 5 | $14.1M | 3.07% |
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
Custody
Reported custodians
- Charles Schwab & Co. $454M (99% of AUM) Mar 2025
- Commonwealth Equity Services, Llc $177M (66% of AUM) Dec 2018
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 04, 2025.