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Wealth Manager · Small ($100M–$1B)
CRD 297351
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ADV data as of Nov 28, 2025
- Regulatory AUM
- $137M
- Discretionary
- $134M
- Clients
- 107
- Avg AUM / client
- $1.3M
- Accounts
- 222
- Employees
- 16
AUM over time
$104M
$257M
May 18, 2021
Nov 28, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Nov 28, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 37 | $9.3M | 6.76% |
| High net worth individuals | 65 | $119M | 86.8% |
| Pension and profit sharing plans | 3 | $3.4M | 2.46% |
| Corporations and other businesses | 2 | $5.5M | 4.0% |
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
- LPL Financial $136M (99% of AUM) Nov 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: Nov 28, 2025.