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Wealth Manager · Small ($100M–$1B)
CRD 307764
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ADV data as of Jan 09, 2026
- Regulatory AUM
- $449M
- Discretionary
- $0
- Clients
- 237,362
- Avg AUM / client
- $1.9K
- Accounts
- 237,362
- Employees
- 53
AUM over time
$0
$449M
Dec 2019
Dec 2025
Annual snapshots from Form ADV filings · as of Jan 09, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 237,362 | $449M | 100.0% |
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Publication of periodicals or newsletters
- • Educational seminars/workshops
Custody
Reported custodians
- Drivewealth, Llc $439M (98% of AUM) Jan 2026
- Apex Clearing $9.2M (2% of AUM) Jan 2026
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: Jan 09, 2026.