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Wealth Manager · Small ($100M–$1B)
CRD 310137
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ADV data as of Jun 10, 2025
- Regulatory AUM
- $137M
- Discretionary
- $136M
- Clients
- 104
- Avg AUM / client
- $1.3M
- Accounts
- 333
- Employees
- 5
AUM over time
$98.2M
$137M
Jul 11, 2022
Jun 10, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Jun 10, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 74 | $23.1M | 16.8% |
| High net worth individuals | 30 | $92.8M | 67.6% |
| Pension and profit sharing plans | Fewer than 5 | $1.7M | 1.21% |
| Charitable organizations | Fewer than 5 | $19.7M | 14.4% |
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
- • Pension consulting services
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $135M (98% of AUM) Jun 2025
- Assetmark Brokerage, Llc $33.2M (32% of AUM) Jan 2024
- Fidelity Brokerage Services $6.9M (7% of AUM) Jan 2024
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: Jun 10, 2025.