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Mutual Fund / Asset Manager · Small ($100M–$1B)
CRD 290065
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ADV data as of Feb 10, 2025
- Regulatory AUM
- $175M
- Discretionary
- $175M
- Clients
- 4
- Avg AUM / client
- $43.6M
- Accounts
- 4
- Employees
- 4
AUM over time
$5.9M
$397M
Mar 21, 2018
Feb 10, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Feb 10, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Investment companies | 2 | $160M | 91.4% |
| Pooled investment vehicles (non-investment companies) | 2 | $15.0M | 8.6% |
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Performance-based fees
Services
- • Portfolio management for investment companies
- • Portfolio management for pooled investment vehicles
Custody
Reported custodians
- Stonex Financial Inc. $14.1M (5% of AUM) Aug 2023
- Morgan Stanley $5.0M (2% of AUM) Aug 2023
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: Feb 10, 2025.