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Wealth Manager · Small ($100M–$1B)
CRD 298068
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ADV data as of Apr 15, 2025
- Regulatory AUM
- $277M
- Discretionary
- $276M
- Clients
- 735
- Avg AUM / client
- $377K
- Accounts
- 735
- Employees
- 5
AUM over time
$0
$277M
Jul 27, 2018
Apr 15, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Apr 15, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 692 | $193M | 69.5% |
| High net worth individuals | 43 | $84.6M | 30.5% |
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
- • Other fees
- • REFERRAL FEES/ERISA FEES
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $271M (98% of AUM) Apr 2025
- National Financial Services (Fidelity) $18.2M (8% of AUM) Feb 2021
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: Apr 15, 2025.