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Wealth Manager · Mid-sized ($1B–$10B)
CRD 306876
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ADV data as of May 12, 2026
- Regulatory AUM
- $3.1B
- Discretionary
- $3.1B
- Clients
- 4,700
- Avg AUM / client
- $649K
- Accounts
- 7,629
- Employees
- 3
AUM over time
$0
$3.1B
Jun 2020
May 2026
Annual snapshots from Form ADV filings · as of May 12, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 3,280 | $1.0B | 33.8% |
| High net worth individuals | 1,375 | $2.0B | 65.6% |
| Pension and profit sharing plans | 5 | $1.0M | 0.03% |
| Charitable organizations | 10 | $7.3M | 0.24% |
| Corporations and other businesses | 30 | $9.6M | 0.31% |
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
- • Pension consulting services
- • Selection of other advisers
- • Educational seminars/workshops
Custody
Reported custodians
- Fidelity Brokerage Services $2.8B (91% of AUM) May 2026
- Charles Schwab & Co. $272M (9% of AUM) May 2026
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: May 12, 2026.