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Wealth Manager · Small ($100M–$1B)
CRD 299003
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ADV data as of Feb 27, 2025
- Regulatory AUM
- $246M
- Discretionary
- $226M
- Clients
- 127
- Avg AUM / client
- $1.9M
- Accounts
- 414
- Employees
- 4
AUM over time
$0
$246M
Oct 17, 2018
Feb 27, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Feb 27, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 73 | $28.3M | 11.5% |
| High net worth individuals | 54 | $218M | 88.5% |
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
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
Custody
Reported custodians
- Wells Fargo $178M (72% of AUM) Feb 2025
- Charles Schwab & Co. $66.4M (27% of AUM) Feb 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: Feb 27, 2025.