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Wealth Manager · Small ($100M–$1B)
CRD 306298
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ADV data as of Mar 14, 2025
- Regulatory AUM
- $146M
- Discretionary
- $146M
- Clients
- 318
- Avg AUM / client
- $458K
- Accounts
- 576
- Employees
- 10
AUM over time
$102M
$290M
Jun 13, 2023
Mar 14, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 14, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 295 | $63.6M | 43.7% |
| High net worth individuals | 23 | $82.0M | 56.3% |
| Banking or thrift institutions | Fewer than 5 | — | — |
| Pension and profit sharing plans | Fewer than 5 | — | — |
| Charitable organizations | Fewer than 5 | — | — |
| State or municipal government entities | Fewer than 5 | — | — |
| Other investment advisers | Fewer than 5 | — | — |
| Insurance companies | Fewer than 5 | — | — |
| Sovereign wealth funds and foreign official institutions | Fewer than 5 | — | — |
| Corporations and other businesses | Fewer than 5 | — | — |
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 pooled investment vehicles
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $146M (100% of AUM) Mar 2025
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: Mar 14, 2025.