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Wealth Manager · Small ($100M–$1B)
CRD 293992
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ADV data as of Aug 25, 2025
- Regulatory AUM
- $130M
- Discretionary
- $130M
- Clients
- 126
- Avg AUM / client
- $1.0M
- Accounts
- 255
- Employees
- 3
AUM over time
$6.0M
$157M
Mar 27, 2018
Aug 25, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Aug 25, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 94 | $29.5M | 22.8% |
| High net worth individuals | 26 | $82.9M | 63.9% |
| Pension and profit sharing plans | 1 | $771K | 0.59% |
| Charitable organizations | 3 | $15.8M | 12.2% |
| State or municipal government entities | 1 | $499K | 0.38% |
| Corporations and other businesses | 1 | $247K | 0.19% |
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
- • Selection of other advisers
Custody
Reported custodians
- Morgan Stanley $57.7M (44% of AUM) Aug 2025
- UBS $40.3M (31% of AUM) Aug 2025
- Charles Schwab & Co. $24.9M (19% of AUM) Aug 2025
- Wells Fargo $959K (16% of AUM) Mar 2018
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: Aug 25, 2025.