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Institutional / Pension Advisor · Small ($100M–$1B)
CRD 297171
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ADV data as of Mar 29, 2025
- Regulatory AUM
- $548M
- Discretionary
- $101M
- Clients
- 106
- Avg AUM / client
- $5.2M
- Accounts
- 206
- Employees
- 3
AUM over time
$254M
$548M
Jul 2018
Dec 2024
Annual snapshots from Form ADV filings · as of Mar 29, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 40 | $17.5M | 3.19% |
| High net worth individuals | 35 | $83.5M | 15.2% |
| Pension and profit sharing plans | 31 | $447M | 81.6% |
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
Custody
Reported custodians
- Tiaa Cref Individual & Institutional Services, Llc $162M (30% of AUM) Mar 2025
- Newedge Securities, Inc. $133M (40% of AUM) Apr 2022
- American Trust Custody $124M (23% of AUM) Mar 2025
- Charles Schwab & Co. $101M (18% of AUM) Mar 2025
- Mid Atlantic Capital Corporation $58.0M (11% of AUM) Mar 2025
- Tr Price $56.5M (10% of AUM) Mar 2025
- National Financial Services (Fidelity) $44.7M (13% of AUM) Apr 2022
- Fidelity Brokerage Services $44.7M (8% of AUM) Mar 2025
- Capital Group $1.1M (0% of AUM) Mar 2025
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: Mar 29, 2025.