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Wealth Manager · Small ($100M–$1B)
CRD 309628
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ADV data as of Mar 28, 2025
- Regulatory AUM
- $481M
- Discretionary
- $481M
- Clients
- 646
- Avg AUM / client
- $744K
- Accounts
- 1,580
- Employees
- 7
AUM over time
$0
$481M
Sep 18, 2020
Mar 28, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 28, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 481 | $166M | 34.5% |
| High net worth individuals | 161 | $312M | 64.9% |
| Charitable organizations | 2 | $1.2M | 0.25% |
| Corporations and other businesses | 2 | $1.4M | 0.29% |
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
Custody
Reported custodians
- LPL Financial $481M (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 28, 2025.