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Wealth Manager · Small ($100M–$1B)
CRD 311002
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ADV data as of Jan 30, 2025
- Regulatory AUM
- $360M
- Discretionary
- $360M
- Clients
- 292
- Avg AUM / client
- $1.2M
- Accounts
- 803
- Employees
- 6
AUM over time
$0
$360M
Sep 22, 2020
Jan 30, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Jan 30, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 138 | $53.0M | 14.7% |
| High net worth individuals | 154 | $298M | 82.6% |
| Charitable organizations | Fewer than 5 | $101K | 0.03% |
| Corporations and other businesses | Fewer than 5 | $9.8M | 2.71% |
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Charles Schwab & Co. $225M (62% of AUM) Jan 2025
- Fidelity Brokerage Services $136M (38% of AUM) Jan 2025
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 30, 2025.