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Wealth Manager · Small ($100M–$1B)
CRD 312178
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ADV data as of Mar 04, 2025
- Regulatory AUM
- $168M
- Discretionary
- $168M
- Clients
- 999
- Avg AUM / client
- $169K
- Accounts
- 1,941
- Employees
- 4
AUM over time
$115M
$168M
Mar 20, 2024
Mar 4, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 04, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 985 | $134M | 79.7% |
| High net worth individuals | 14 | $34.2M | 20.3% |
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
- • Educational seminars/workshops
Custody
Reported custodians
- Charles Schwab & Co. $144M (86% of AUM) Mar 2025
- Altruist Financial $22.9M (14% of AUM) Mar 2025
- Fidelity Brokerage Services $1.0M (1% of AUM) Mar 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: Mar 04, 2025.